Lucy Yi Lin

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075872401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucy Yi Lin (Respondent) Former Associated Person CRD No. 7449972 Pursuant to FINRA Rule 9216, Respondent Lucy Yi Lin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022075872401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	7449972

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