South Florida Arbitration & Litigation Lawyer Blog
Registered Representative and Account Executive Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.
March, 2012:
Jun “Jennifer” Feng (CRD #4697641, Registered Representative, Saratoga, California) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Feng consented to the described sanction and to the entry of findings that she failed to respond to FINRA requests for documents and information. The findings stated that Feng sent FINRA an email regarding the request letter that only addressed one of the 18 questions posed to her in the letter, so FINRA deemed the email to be non-responsive. The findings also stated that FINRA contacted Feng informing her of the consequences if she failed to respond fully, completely and truthfully to the request letter. Feng sent FINRA another email in which she stated that she had elected to not respond. (FINRA Case 2010025510501).