Nex Systems
Type not stated

HB Securities LLC

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

    08/01/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064718701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HB Securities, LLC (Respondent) Member Firm CRD No. 140356 Seung Hoon Kang (Respondent) Associated Person and Unregistered Indirect Owner CRD No. 7172537 Pursuant to FINRA Rule 9216, Respondents HB Securities, LLC (HB Securities) and Seung Hoon Kang (Kang) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019064718701data-portal.finra.orgfinra.org

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