Nex Systems
Person

KIM D LE

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050589901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Kim D. Le, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2747176 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Kim D. Le (“Le” or “Respondent”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement

    Reference 2016050589901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2747176

Other names1

Also known as1

Kim D. Le

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