Nex Systems
Type not stated

HSIN-CHIN HSU

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

    06/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HSIN-CHIN HSU (CRD No. 1655196) Respondent. Disciplinary Proceeding No. 2008015805401 Hearing Officer - RSH DEFAULT DECISION June 2, 2011 The Respondent violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Rules 2120 and 2110 by transferring profitable trades from customer accounts to accounts of the Respondent's family members, without the customers' authorization. To

    12/31/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement. Complainant, v. Hsin-Chin Hsu (CRD No. 1655196), Respondent. DISCIPLINARY PROCEEDING No. 2008015805401 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While a registered representative with Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch" or "the Firm"), Hsin-Chin Hsu fraudulently transferred 25 profitable trades (the "25 Profitable Trades") that were originally billed to

    Reference 2008015805401data-portal.finra.orgdata-portal.finra.orgfinra.org

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