PETER H KIM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041330101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Peter H. Kim, Respondent CRD No. 3106647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Peter H. Kim submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that
Reference 2014041330101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3106647

Other names1

Also known as1

PETER H. KIM

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