Junying Yan
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/03/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053867701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Junying Yan ("Respondent" or "Yan") Limited Representative - Investment Banking CRD No. 6224552 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2017053867701data-portal.finra.orgfinra.org
Other names1
Also known as1
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