HITOMI TSUYUKI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. Hitomi Tsuyuki, (CRD No. 1550142) RESPONDENT. DISCIPLINARY PROCEEDING No. 2005002253201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February 2005 and March 2005, Respondent Hitomi Tsuyuki deposited seven checks, totaling $124,000 intended for investment from customers EI and KI, husband and wife, into his own personal accounts and converted the funds to his own use and benefit. To conceal the conversion of
09/25/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY1 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HITOMI TSUYUKI (CRD No. 1550142), Respondent. Disciplinary Proceeding No. 2005002253201 Hearing Officer-LBB DEFAULT DECISION September 25, 2007 For Respondent's conversion of customer funds in violation of Conduct Rules 2330 and 2110, Respondent is barred in all capacities and ordered to pay restitution to the customers. Respondent is also barred for failure to provide requested information, in
Reference 2005002253201data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1550142

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