Nex Systems
Type not stated

GOOD MORNING SHINHAN SECURITIES INC.

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

    11/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. # E102004017701 TO: Department of Enforcement NASD RE: Good Morning Shinhan Securities (USA) Inc. ("Good Morning Shinhan") (BD No. 31977) Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Good Morning Shinhan submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

    Reference E102004017701data-portal.finra.orgfinra.org

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