Steven Yi
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN YI (CRD No. 3268937), Respondent. Disciplinary Proceeding No. 20120351805-01 Hearing Officer - LOM DEFAULT DECISION March 11, 2014 Respondent failed to provide information requested by FINRA staff pursuant to FINRA Rule 8210, in violation of that Rule and FINRA Rule 2010. Respondent is barred from associating with any FINRA registered firm in any capacity for this violation
Reference 2012035180501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3268937 |
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