FINRA Bars Yang Liang

Yang Liang (CRD #: 6554372) has been barred by FINRA, according to his BrokerCheck record, accessed on July 6, 2022. Read on if you want to know more about Yang Liang’s conduct as a broker.

FINRA Bar

On March 30, 2022, FINRA sent Yang Liang a Notice of Suspension following his alleged failure to respond to FINRA requests for information. He was barred starting July 5, 2022. 

FINRA Rule 9552

FINRA Rule 9552 requires members to respond to FINRA requests for information, documents, or testimony by suspending and barring them. Suspensions initially last three months, and if members do not request an end to the suspension, it becomes a permanent bar.

Resignation from NYLIFE Securities

On July 16, 2020, Yang Liang was permitted to resign from NYLIFE Securities after allegedly violating company policy by opening a brokerage account with an outside  broker-dealer without approval and placed trades in a friend’s outside account.

Background Information

Yang Liang has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for NYLIFE Securities (CRD#:5167).

Kurta Law Can Help

If you worked with Yang Liang and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.