CATHY Y HUANG

07/01/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PERPETUAL SECURITIES, INC. (BD No. 36841), CATHY Y. HUANG (CRD No. 2370253), and YOUWEI P. XU (CRD No. 2370245), Respondents. Disciplinary Proceeding No. C9B040059 DEFAULT DECISION Hearing Officer-SW Date; July 1, 2005 For violating Conduct Rule 2110 through Perpetual Securities conducting a securities business for approximately 30 days while it was subject to a suspension, the Respondents are jointly and severally

Reference C9B20040059finra.orgdata-portal.finra.org

07/01/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PERPETUAL SECURITIES, INC. (BD No. 36841), CATHYY. HUANG (CRD No. 2370253), and YOUWEI P. XU (CRD No. 2370245), Respondents. Disciplinary Proceeding No. C9B040059 DEFAULT Hearing Officer SW DECISION Date: July 1, 2005 For violating Conduct Rule 2110 through Perpetual Securities conducting a securities business for approximately 30 days while it was subject to a suspension, the Respondents are jointly and

08/16/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Perpetual Securities, Inc., Cathy Y. Huang Thornhill, Ontario, Youwei P. Xu, Thornhill, Ontario, Respondents. DECISION Complaint No. C9B040059 Dated: August 16, 2006 Respondent firm operated a securities business while suspended. Individual respondents permitted respondent firm to operate a securities business while suspended. Respondent Huang failed to respond to NASD requests

10/04/2007: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 56613 / October 4, 2007 Admin. Proc. File No. 3-12416 In the Matter of the Application of PERPETUAL SECURITIES, INC., YOUWEI P. XU, and CATHY Y. HUANG 1603 -7300 Yonge Street Thornhill, Ontario L4J7Y5 Canada For Review of Disciplinary Action Taken by NASD PINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS

Reference C9B040059data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org