Nex Systems
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JAMES JHUN

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

    11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009278101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Jhun, Respondent Associated Person CRD No. 5340474 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, James Jhun, submit 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

    Reference 2007009278101data-portal.finra.orgfinra.org

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