SHINKO SECURITIES (U.S.A.) INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070099313-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Shinko Securities (U.S.A.) Inc., Respondent Broker-Dealer CRD No. 121142 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Shinko Securities (U.S.A.) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2007009931301data-portal.finra.orgfinra.org
Other names1
Also known as1
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