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.
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.
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 firstname.lastname@example.org 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.