MAX DONG HO LEE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050001 TO: Department of Enforcement NASD RE: Max Dong Ho Lee, Associated Person CRD No. 4578087 Pursuant to Rule 9216 of NASD Code of Procedure, I submit 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 the same
Reference C02050001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4578087 |
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