HAE YOUNG LEE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047604301 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Hae Young Lee (CRD No. 6156655), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Hae Young Lee ("Lee" or 'Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2015047604301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6156655

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