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Name
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Residence
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What
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Why
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Date
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Yeager, Robert Van
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Lady Lake, FL
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1-Year Suspension
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Yeager forged public customer signatures on investment andinsurance-related documents, without the customers' knowledge or prior consent.
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February 2008
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Yee, See Wing
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Fremont, CA
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Barred
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Yee engaged in outside business activities and failed to provide prompt written notice to his member firms. The findings stated that Yee failed to fully respond to NASD requests for information and documents and failed to appear for an NASD on-the-record interview.
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September 2007
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Yim, James Byongmin
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Sparks, NV
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Complaint Filed
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Yim was named as a respondent in a FINRA complaint alleging that he submitted requests to his member firm purportedly signed by public customers requesting the transfer of funds totaling $1,328,000 from their accounts to other accounts, without the customers' knowledge, authorization or consent. The complaint alleges that Yim failed to respondto FINRA requests for information and to appear for an on-the-record interview
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March 2008
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Yoshikawa, Terrance Yutaka
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Seattle, Washington
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Barred
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The SEC imposed the sanction following appeal of a NAC decision. Yoshikawa repeatedly engaged in manipulative trading practices that included trades fraudulently designed to improve the national best bid or offer (NBBO) price for the purpose of enabling Yoshikawa to obtain execution of orders on the opposite side of the market at the NBBO prices hecreated.
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June 2007
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Youssef, Aljaroudi, Mustapha
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Miami, Florida
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Complaint Filed
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Aljaroudi was named as a respondent in an NASD complaint alleging that he engaged in a pattern of misconduct that included falsification of essential public customer information on a new account opening form, thereby causing his firm's books and records to be inaccurate. The complaint alleged that Aljaroudi engaged in an unauthorized sale of stock in a customer's account without the customer's knowledge, authorization or consent. The complaint also alleged that Aljaroudi converted customer funds in that he received a customer's check from a clearing firm, endorsed the check without the customer's knowledge, authorization or consent and deposited the check into his personal bank account without repaying the customer or accounting for the funds.
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November 2006
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Yu, Philip
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Fort Lee, New Jersey
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Censure and a bar until he cooperates, the bar to become permanent if he fails to cooperate in three months
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Yu violated NYSE Rules 476(a)(11) and 477 by failing to comply with a written request by NYSE Regulation for a detailed written explanation concerning matters that occurred prior to his termination as a non-registered employee of a member organization.
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March, 2007
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Yun, Walter
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Stevenson Ranch, CA
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Barred
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Yun engaged in outside business activities, for compensation, without prior written notice, or any notice at all, to his member firm.
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January 2008
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Yung, Stanley aka Quang Chi Dung
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San José, California
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Barred
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With an accomplice's help, he reactivated an inactive customer's savings account and without the knowledge, authorization or consent of a second customer, arranged for the transfer of $60,000 from that customer's account to the savings account, had his accomplice cash out the savings account, received the cash proceeds, and used the funds for his own personal use and benefit. The findings stated that Yung withdrew $50,000 from a third customer's account without the customer's knowledge, authorization or consent and transferred the funds into his accomplice's own bank account. However, the bank froze the accomplice's bank account before the funds could be removed from it.
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September, 2006
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Yura, Martin
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Atlanta, Georgia
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1-Year Suspension
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Yura instructed another supervisory principal to create adocument stating that a registered representative hadbeen suspended for resolving an incident with a public customer by paying the customer money when he had not been suspended. The findings stated that the document was to be placed in the representative's file at a branch office. The findings also stated that Yura falsely advised his firm's chief compliance officer that the representative had been suspended.
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July 2007
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Yurachek, Thomas William
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St. Charles, Missouri
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Barred
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Pursuant to NASD Rule 9552(h)
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August, 2006
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