Nex Systems
Type not stated

Jin Yi Lim

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

    01/29/2025: From February 2022 through June 2022, Lim, while associated with Barclays, engaged in 32 instances of “spoofing,” a type of fraudulent trading, in U.S. Treasury securities. Therefore, Lim violated FINRA Rule 2010 by acting in contravention of Section 17(a)(3) of the Securities Act of 1933 and is suspended 12 months and fined $17,500.

    Reference 2022076871201data-portal.finra.orgfinra.org

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