YONG K. KIM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044615201 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Yong K. Kim, Respondent Former Registered Representative CRD No. 5687815 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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
Reference 2015044615201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5687815

Other names1

Also known as1

YONG KUN KIM

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