Ji Jun Yang
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ji Jun Yang CRD No. 6084289, Respondent. Disciplinary Proceeding No. 2019061187102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2015 through November 2018, while associated with RBC Capital Markets, LLC (the firm), Respondent Ji Jun Yang converted approximately $41,000 from the firm by causing it to pay for fictitious meal and taxi expenses charged to Yang’s firm-issued corporate
07/08/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Ji Jun Yang (CRD No. 6084289), Respondent. Disciplinary Proceeding No. 2019061187102 Hearing Officer-BEK DEFAULT DECISION July 8, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for (1) converting firm funds by causing the firm to pay fictitious credit card
Reference 2019061187102data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6084289 |
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