Yimin Ge (CRD #4891755, Brooklyn, New York)
was barred by FINRA for allegedly entering into an agreement with counterparties at other financial institutions to engage in pre-arranged trading in willful violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.
FINRA's findings stated that these prearranged transactions artificially influenced the natural forces of supply and demand in the market for the relevant securities.
(FINRA Case #2014041901701)
Yimin Ge was registered in the securities industry for nine years and was previously registered with the following securities firm(s):
05/2011 - 07/2014 SG AMERICAS SECURITIES, LLC (CRD# 128351) - NEW YORK, NY
11/2010 - 05/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - NEW YORK, NY
01/2009 - 11/2010 BANC OF AMERICA SECURITIES LLC (CRD# 26091) - NEW YORK, NY
02/2005 - 01/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - NEW YORK, NY
This summation of information comes from FINRA’s website under "Disciplinary and Other FINRA Actions, December 2014," and ends here.
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