According to FINRA, Kevin Tong You was barred from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(h) for failing to provide information or keep information current as required.
The bar against You became effective on October 20, 2025.
Registered persons have an obligation to cooperate with FINRA's regulatory and investigative functions. This includes responding to requests for information and maintaining current registration information. When individuals fail to meet these obligations, FINRA cannot effectively oversee the securities industry and protect investors.
Rule 9552 establishes procedures for addressing these failures, ultimately resulting in a permanent bar from the industry for those who do not comply.
For investors who worked with You, this disciplinary action warrants a careful review of your accounts. Examine your statements for any transactions you did not authorize or any activity that seems unusual. If you identify concerns, consider consulting with a securities attorney or filing a complaint with FINRA.
The fact that an individual has been barred for failure to provide information does not necessarily mean they engaged in misconduct affecting customers. However, the refusal to cooperate with regulators raises questions about what information the individual may have been attempting to conceal.
All investors should make it a regular practice to check their financial professionals' registration status and disciplinary history through FINRA's BrokerCheck system. This free resource is available online and can help you make informed decisions about whom you trust with your investments.