Jing Li
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2026: Between October 2024 and April 2025, Li willfully failed to timely amend her Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose that she had been charged with two felonies. As a result, Li violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. Li is suspended in all capacities for three months and fined $5,000.
Reference 2025085714301data-portal.finra.orgfinra.org
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