Proceeding Number 2011029227701

Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee

January 21, 2014

For providing a false attestation, in violation of FINRA Rule 2010, and causing her firm to have inaccurate records as a result, in violation of NASD Rule 3110 and FINRA Rule 2010, Respondent is suspended for ten business days and fined $7,500.

 

This decision has been appealed or called for review. While the appeal or call for review is pending, the findings and sanctions imposed in this decision are subject to review and modification by FINRA or the SEC.

View Decision (PDF 44 KB)