Nex Systems
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HOWARD MING LIU

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

    05/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017992401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Howard Ming Liu, Respondent General Securities Representative/General Securities Principal CRD No. 3234448 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Howard Ming Liu ("Liu" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2009017992401data-portal.finra.orgfinra.org

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