Nex Systems
Type not stated

HUNG THE NGUYEN

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

    05/22/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HUNG THE NGUYEN (CRD No. 2532462), Respondent. Disciplinary Proceeding No. E072004087801 Hearing Officer - David M. FitzGerald AMENDED PANEL DECISION May 22, 2006 Respondent is suspended from associating with any NASD member firm for 30 business days and fined $5,000 for failing to disclose to his employer firm his activities relating to an outside securities account, in violation of Rules 3050 and 2110.

    Reference E072004087801data-portal.finra.orgfinra.org

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