Yee Htwe

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061056803 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Yee Htwe, Respondent Former Registered Representative CRD No. 6437691 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Yee Htwe, submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019061056803data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6437691

Other names1

Also known as1

Yee Yee Htwe

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