John Newton Dabbs IV
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Newton Dabbs IV ( ), a licensed former licensee with CE reference AOJ221. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-11-28 | 2009-07-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-07-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2009-07-24 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2006-12-28 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-12-28 | 2008-09-29 |