LAWRENCE Y LEE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LAWRENCE Y. LEE (CRD No. 2612348), Respondent. Disciplinary Proceeding No. 2008012458101 Hearing Officer-LBB DEFAULT DECISION Dated: December 9, 2013 Respondent is barred and statutorily disqualified for willfully failing to disclose his criminal history on 47 Forms U4, in violation of Article V, Section 2 of the NASD and FINRA By-Laws, NASD Rule 2110 and IM-1000-1, and FINRA Rules 1122 and 2010. He
Reference 2008012458101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2612348

Other names1

Also known as1

LAWRENCE Y. LEE

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