SHAWN D. YOUNG

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014039194103 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shaun D. Young, Respondent (CRD No. 2837873) General Securities Representative, General Securities Principal, Financial and Operations Principal Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Shaun Young, submit this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing
Reference 2014039194103finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028116701 TO: Department, of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shawn D. Young, Respondent CRD No. 5079413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA
Reference 2011028116701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5079413

Other names2

Also known as2

SHAWN DAVID YOUNGSHAUN D. YOUNG

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