2022075393201 Thomas Nguyen CRD 3092480 AWC lp (2024-1722039604923).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075393201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Nguyen (Respondent) Former General Securities Representative CRD No. 3092480 Pursuant to FINRA Rule 9216, Respondent Thomas Nguyen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Financial Intelligence Unit: Connecting FINRA Members with Actionable Information

FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
Subscribe to