Nex Systems
Person

SU-CHIN LIU

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

    11/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100239809 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Su-Chin Liu, Respondent (CRDNo.5637584) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Su-Chin Liu ("Liu") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2010023980901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5637584

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