Bad Broker

Kevin Tong You Suspended for Failure to Provide Information

2025-08-08

My Bad Broker

According to FINRA, Kevin Tong You was suspended from association with any FINRA member firm pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current.

The suspension became effective on August 8, 2025. As of the report date, the suspension had not been lifted.

The underlying matter is documented in FINRA Case #2024083676601.

You was located in Corona, California. The suspension bars him from associating with any FINRA member firm until he provides the requested information.

Under FINRA rules, registered persons must cooperate with information requests. This obligation continues even after an individual leaves the securities industry, as long as the request relates to conduct during the period of registration.

Failure to provide information often raises concerns about what the individual may be hiding. FINRA information requests typically relate to investigations into potential rule violations, customer complaints, or other regulatory matters.

For investors, this suspension means You cannot conduct securities activities. If You was your registered representative, ensure your firm has assigned someone else to service your accounts.

If the suspension continues for three months, it may convert to a permanent bar. Monitor the status of this matter and consider consulting with a securities attorney if you have concerns about your accounts or investments involving You.

Violation :

Suspended for failure to provide information

Tags :

Kevin Tong You,
CA
CRD Number : 7706430

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