Nex Systems
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DAN K. LY

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

    10/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003477201 TO: Department of Enforcement NASD RE: Dan K. Ly, Respondent. CRD No. 5054402 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part IT below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference 2005003477201finra.orgdata-portal.finra.org

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