Yue Zhu
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054990601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Yue Zhu, Respondent Former Registered Representative CRD No. 6729240 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Yue Zhu (“Respondent” or “Zhu”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations
Reference 2017054990601finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6729240 |
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