JUNG HAN KIM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JUNG HAN KIM (aka "Jay Kim") (CRD No. 2972169), Respondent. Disciplinary Proceeding No. 2007011178001 Hearing Officer -MC DEFAULT DECISION July 8, 2009 The Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to FINRA requests for information, in violation of Conduct Rule 2110 and Procedural Rule 8210. In light of the bar, no separate sanctions are
Reference 2007011178001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2972169 |
Other names1
Also known as1
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