ANDREW PATRICK YORO

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW PATRICK YORO (CRD No. 6870944), Respondent DISCIPLINARY PROCEEDING NO. 2018056934901 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. Andrew Patrick Yoro cheated on the Series 7 qualification exam. During unscheduled breaks during that exam, he consulted prohibited study materials and then changed some of his answers.
Reference 2018056934901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/04/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW P. YORO (CRD No. 6870944), Respondent. Disciplinary Proceeding No. 2018056934901 Hearing Officer-DDM DEFAULT DECISION October 4, 2019 Respondent cheated on the Series 7 examination, in violation of NASD Rule 1080 and FINRA Rule 2010. For this misconduct, he is barred from associating
Reference 2018056934901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6870944

Other names1

Also known as1

Andrew P. Yoro

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