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Joseph Yi Terminated by Equity Services

Joseph Yi (CRD #: 5732044) has been fired by Equity Services. This disclosure appears on his BrokerCheck record, accessed on April 10, 2024. Keep reading if you have questions concerning his alleged conduct. 

Employment Separation After Allegations 

On March 12, 2024, Equity Services fired Joseph Yi following allegations that he did not adhere to firm policies concerning private securities transactions. 

Private Securities Transactions

FINRA Rule 3280 requires brokers to provide written notice to their firm before engaging in private securities transactions.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3280 also violate this rule. 

Background Information 

Joseph Yi has passed the following exams:

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination

During his 14 years of experience, he has registered with six firms: 

  • Equity Services (CRD #: 265) 
  • MML Investors Services (CRD #: 10409) 
  • Investment Professionals (CRD #: 30184) 
  • Raymond James & Associates (CRD #: 705) 
  • Morgan Keegan & Company (CRD #: 4161) 
  • Morgan Stanley Smith Barney (CRD #: 149777) 

Kurta Law Can Help 

If you have worked with Joseph Yi and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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