Nex Systems
Person

WALTER YUN

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

    11/17/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060061950 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Walter Yun, Respondent General Securities Representative and General Securities Principal CRD No. 4668063 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Walter Yun, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2006006195001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4668063

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