Nex Systems
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Hinman Au

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

    11/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062623003 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hinman Au (Respondent) Introducing Broker-Dealer Financial and Operations Principal; General Securities Principal; General Securities Representative; Registered Options Principal; Compliance Officer; Investment Banking Representative; Operations Professional CRD No. 2243462 Pursuant to FINRA Rule 9216, Respondent Hinman Au submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2019062623003data-portal.finra.orgfinra.org

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