Nex Systems
Type not stated

BO LI

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

    12/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BO LI (CRD No. 5711148), Respondent. Disciplinary Proceeding No. 2014043420401 Hearing Officer-KBW DEFAULT DECISION December 6, 2016 , Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear and provide investigative testimony, in violation of FINRA Rules 8210 and 2010. For the Complainant: Kevin Link, Esq. and Jennifer Crawford, Esq., Department of

    07/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bo Li (CRD No. 5711148) Respondent. DISCIPLINARY PROCEEDING No. 2014043420401 HEARING OFFICER: COMPLAINT The Department of Enforcement (the "Department") alleges: SUMMARY Respondent Bo Li ("Li") failed to appear and provide investigative testimony on June 2, 2016, and June 28, 2016, in violation of FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Li entered the securities industry in

    Reference 2014043420401data-portal.finra.orgdata-portal.finra.orgfinra.org

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