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Broker-Dealer Settles FINRA Charges for Failing to Report Outside Activities

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.

Primary Sources

  1. FINRA Letter of Acceptance, Waiver and Consent regarding Kyung Soo Kim

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Tags

Regulated Activities
Employee Matters
Sub-Activity
Outside Business Activities / Private Securities Transactions
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA