In a recent FINRA enforcement action, registered representative, Jenny Quyen Ta, received a $10,000 fine and a one-year industry suspension for: (i) failing to disclose a number of outside business interests and securities accounts, (ii) failing to obtain approval of several external websites, (iii) misrepresenting that she had founded a full-service broker-dealer and member of FINRA, and (iv) posting unbalanced “tweets” on her undisclosed Twitter account, frequently predicting imminent price rises to a stock in which she and her family held substantial positions.
(877) MKT-CNSL
