Nex Systems
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JAMES BYONGMIN YIM

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

    06/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES BYONGMIN YIM (CRD No. 3137645), Respondent. Disciplinary Proceeding No. 20060063365-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION June 2, 2008 Respondent is barred from associating with any FINRA member firm in any capacity for effecting unauthorized transfers of funds, in violation of NASD Conduct Rule 2110, and for failing to respond to requests for information, in violation of NASD

    01/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JAMES BYONGMIN YIM (CRD No. 3137645), RESPONDENT. Disciplinary Proceeding NO. 20060063365-01 Hearing Officer - COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about February 9, 2005, through on or about May 19, 2006, James Byongmin Yim submitted eleven (11) separate transfer requests on behalf of five (5) different customers of his FINRA member firm to effectuate the

    Reference 2006006336501data-portal.finra.orgfinra.orgdata-portal.finra.org

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