VAN H. LE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004057101 TO: Department of Enforcement NASD RE: Van H. Le, Respondent CRD No. 4770466 Pursuant to Rule 9216 of NASD Code of Procedure, Van H. Le ("Le") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on
Reference E9B2004057101finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4770466

Other names1

Also known as1

VAN HUNG LE

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