United States:
Broker-Dealer Settles FINRA Charges For Failing To Report Outside Activities
01 July 2019
Cadwalader, Wickersham & Taft LLP
To print this article, all you need is to be registered or login on Mondaq.com.
A former general securities representative ("GSR") settled FINRA charges for
failing to notify his company that he created an external
cryptocurrency-mining business.
The former GSR, Kyung Soo Kim, agreed to a $5,000 fine and a
one-month suspension.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
POPULAR ARTICLES ON: Corporate/Commercial Law from United States
Balancing DEI In The Workplace
McDonald Hopkins
When the U.S. Supreme Court's June 2023 decision in Students for Fair Admissions, Inc. significantly curtailed race-based affirmative action in higher education...