PETER RHEE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/11/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PETER RHEE (CRD No. 2964890), Respondent. Disciplinary Proceeding No. E9B2004049101 Hearing Officer-DRP DEFAULT DECISION October 11, 2006 Respondent is barred from association with any NASD member firm in any capacity for violating: (i) NASD Conduct Rule 2120, by engaging in unauthorized trading, and (ii) NASD Procedural Rule 8210 and Conduct Rule 2110, by failing to respond to staff's request for information and testimony.
02/27/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PETER RHEE CRD No. 2964890 Respondent. Disciplinary Proceeding No. E9B2004049101 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: 1. On or about March 4, 1998, Peter Rhee ("Rhee") first became registered with NASD as a General Securities Representative. 2. From October 2003 to March 11, 2005, Rhee was registered with GunnAllen Financial Inc. ("GunnAllen"). On or about March 14, 2005, GunnAllen
Reference E9B2004049101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2964890

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