Nex Systems
Type not stated

Dung Thanh Nguyen

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

    04/18/2018: FINANCIAL INDUSTRY REGULATROY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050536901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Dung Thanh Nguyen, Respondent General Securities Representative CRD No. 4934343 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Dung Thanh Nguyen ("Nguyen" or "Respondent") submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

    Reference 2016050536901data-portal.finra.orgfinra.org

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