Nex Systems
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ANNY JIANG-LEE

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

    12/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044816501 TO: Department of Enforcement Financial lndustry Regulatory Authority (''FINRA") RE: Anny Jiang-Lee, Respondent CRD No. 2263523 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Anny Jiang-Lee (''Jiang-Lee" or "Respondent") submits 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 2015044816501data-portal.finra.orgfinra.org

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