Nex Systems
Type not stated

Jay Kim

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

    01/29/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045496901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jay Kim, Respondent General Securities Principal CRD No. 2943078 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jay Kim (“Kim” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement

    Reference 2015045496901data-portal.finra.orgfinra.org

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