Lee, Sungsoo

File Number

202182

Status

Concluded

Outcome

Costs $5000.00; Fine $35000.00; Permanent Prohibition

Relevant documents:

Re Lee 2023 CIRO 42

Lee, Sungsoo - Order - 202182 (March 20, 2023)

Lee, Sungsoo - Settlement Agreement - 202182

Lee, Sungsoo - Order - 202182 (June 28, 2022)

Lee, Sungsoo - Notice of Hearing - 202182

Notices about this Proceeding:

12/29/21

MFDA announces disciplinary proceeding in respect of Sungsoo (Steve) Lee

Type:

Hearing Notice

03/03/22

MFDA schedules next appearance in the matter of Sungsoo (Steve) Lee

Type:

Hearing Notice

07/12/22

MFDA schedule dates for Hearing on the Merits in the matter of Sungsoo (Steve) Lee

Type:

Hearing Notice

11/11/22

MFDA reschedules interim appearance in the matter of Sungsoo (Steve) Lee

Type:

Hearing Notice

12/07/22

MFDA cancels interim appearance in the matter of Sungsoo (Steve) Lee

Type:

Hearing Notice

01/16/23

New SRO reschedules Hearing on the Merits in the matter of Sungsoo (Steve) Lee

Type:

Hearing Notice

02/03/23

New SRO reschedules Hearing on the Merits in the matter of Sungsoo (Steve) Lee

Type:

Hearing Notice

03/17/23

New SRO announces settlement hearing to take place in the matter of Sungsoo (Steve) Lee

Type:

Hearing Notice

04/11/23

New SRO Hearing Panel accepts settlement agreement with Sungsoo (Steve) Lee

Type:

Decision Notice

12/28/23

CIRO Hearing Panel issues Reasons for Decision in the matter of Sungsoo (Steve) Lee

Type:

Decision Notice

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