Nex Systems
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DING HO WANG

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

    01/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050003 TO: Department of Enforcement NASD RE: Ding Ho Wang, Respondent Investment Company Products/Variable Contracts Representative CRD No. 1130318 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 I! below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference C02050003data-portal.finra.orgfinra.org

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