Nex Systems
Person

TERRANCE Y. YOSHIKAWA

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/26/2006: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 53731 / April 26, 2006 Admin. Proc. File No. 3-12057 In the Matter of the Application of TERRANCE YOSHIKAWA 3417 West Commodore Way Seattle, WA 98199 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Violations of Securities Laws and Conduct Rules Manipulation Registered representative, president, sole owner, and head

    Reference CMS020247data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/22/2005: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel.No. 52106 /July 22, 2005 Admin. Proc. File No. 3-11000r In the Matter of the Application of KO SECURITIES, INC., 2416 32nd Avenue West Seattle, Washington 98199 and TERRANCE Y. YOSHIKAWA 3417 West Commodore Way Seattle, Washington 98199 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING

    Reference CMS000142data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number474700

Other names2

Also known as2

TERRANCE YUTAKA YOSHIKAWATERRANCE YOSHIKAWA

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