JAE YOUNG OH

05/17/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAE YOUNG OH (CRD No. 4576773), Respondent. Disciplinary Proceeding No. 20050009134-01 Hearing Officer - COMPLAINT Upon information and belief, the Department of Enforcement ("Complainant") alleges as follows: JURISDICTION 1. From in or about August 2002 to June 2004, Respondent Jae Young Oh ("Oh") was registered with an NASD member firm as a General Securities Representative. 2. From in or about July 2004 to February 2005, Oh was

09/22/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAE YOUNG OH (CRD No. 4576773), Respondent. Disciplinary Proceeding No.20050009134-01 DEFAULT DECISION Hearing Officer-SNB September 22, 2006 Respondent falsified a customer document, in violation of Rule 2110, and failed to provide requested information, in violation of Rules 8210 and 2110. For the failure to provide requested information, Respondent is barred from associating with any NASD member in any capacity. In light of the

Reference 2005000913401data-portal.finra.orgfinra.orgdata-portal.finra.org