Nex Systems
Type not stated

DOUANGHAY CHOUNCHANTHARAT

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

    09/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUANGCHAY CHOUNCHANTHARAT (CRD No. 2998644), Respondent. Disciplinary Proceeding No. 2009018050501 Hearing Officer-Andrew H. Perkins DEFAULT DECISION September 14, 2010 Respondent is barred from associating with any FINRA registered firm in any capacity for converting funds from her employer, in violation of FINRA Conduct Rule 2010; and failing to respond to requests for information, in

    Reference 2009018050501data-portal.finra.orgfinra.org

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