JOHN SOON LEE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN SOON LEE (CRD No. 2689460), Respondent. Disciplinary Proceeding No. 2014041372002 Hearing Officer-KBW DEFAULT DECISION, December 23, 2015 Respondent converted funds, in violation of FlNRA Rule 2010, and failed to provide requested information and testimony, in violation of FINRA Rules 8210 and 2010. For each violation, Respondent is barred. For the conversion violation, Respondent
08/05/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Soon Lee (CRD No. 2689460), Respondent DISCIPLINARY PROCEEDING No. 2014041372002 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 8, 2013 through April 2, 2014, John Soon Lee's supervisor at Wunderlich Securities, Inc.
Reference 2014041372002data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2689460 |
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