DAEWOO SECURITIES AMERICA INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO C10050043 TO: Department of Enforcement NASD RE: Daewoo Securities (America) Inc. (BD No. 30679) Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Daewoo Securities (America) Inc., (hereinafter "Respondent" or "Daewoo") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference C10050043data-portal.finra.orgfinra.org
Other names1
Also known as1
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