WILLIAM C. YEH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Genesis Securities, LLC (CRD No. 46992), and William C. Yeh (CRD No. 2688332), Respondents. Disciplinary Proceeding No. 2009021082501 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 15, 2012 INTRODUCTION Disciplinary Proceeding No. 2009021082501 was filed on February 6, 2012, by the Department
Reference 2009021082501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2688332

Other names1

Also known as1

WILLIAM CHINGWEN YEH

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