United States:
Broker-Dealer Settles FINRA Charges For Failing To Report Outside Activities
01 July 2019
Cadwalader, Wickersham & Taft LLP
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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.
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