Nex Systems
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DOIL KIM

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

    10/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOIL KIM (CRD No. 5739789), Respondent. Disciplinary Proceeding No. 2010024329101 Hearing Officer-LOM DEFAULT DECISION October 11, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to respond to requests for information in connection with a FINRA investigation in violation of FINRA Procedural Rule 8210 and FINRA Conduct Rule 2010. Respondent is

    01/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOIL KIM (CRD No. 5739789), Respondent. DISCIPLINARY PROCEEDING No. 2010 024 3291 01 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 12, 2012 INTRODUCTION Disciplinary Proceeding No. 2010 024 3291 01 was filed on June 7, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Doil Kim ("Kim") submitted an Offer

    Reference 2010024329101data-portal.finra.orgdata-portal.finra.orgfinra.org

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