Nex Systems
Person

Tu Ngoc Le

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

    05/02/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055655401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Tu Ngoc Le, ("Le" or "Respondent") Former Associated Person CRD No. 6530973 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

    Reference 2017055655401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6530973

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