Nex Systems
Person

LIEN THI HUYNH

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

    05/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018467001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lien Thi Huynh ("Huynh"), Respondent Former Registered Sales Assistant CRD No. 4751613 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lien Thi Huynh, 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

    Reference 2009018467001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4751613

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