Jun Ouyang Barred by FINRA
Jun Ouyang (CRD #: 6920567), a broker formerly registered with Morgan Stanley & Co, was recently barred for allegedly failing to respond to FINRA requests for information, according to his BrokerCheck Record accessed on February 20, 2022. Jun Ouyang’s alleged conduct is a violation of FINRA Rule 8210.
FINRA Rule 8210 requires members to provide information under oath, if requested, regarding any matter that pertains to an investigation, complaint, examination, or proceeding. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”
Jun Ouyang was suspended on December 1, 2021. Since he failed to request termination of the suspension, he was automatically barred on March 4, 2022.
Jun Ouyang has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- Series 7TO – General Securities Representative Examination
- SIE – Securities Industry Essentials Examination
Besides Morgan Stanley & Co, Jun Ouyang has not worked with any other firm.
Kurta Law Can Help
If you have been victimized by Jun Ouyang as a broker, don’t hesitate to get in touch with us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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