HEON CHEOL KIM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2014043316501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Heon Kim, Respondent General Securities Representative CRD No. 6121957 Pursuant to FINRA Rule 9216 of FINRA s Code of Procedure. Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014043316501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6121957

Other names1

Also known as1

HEON KIM

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