According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), broker Kejuan Yang was accused of participating in a private securities transaction without notice to her employer. This is against securities laws. His firm, Northwestern Mutual, may be held liable for losses because the firm is supposed to monitor Yang to make sure he does not violate securities laws. Please call us today at 312-332-4200 to find out how you may be able to recover your losses on a contingency fee basis. The call to us is free with no obligation. Yang was registered with T3 Trading Group in New York, New York from May 2014 until February 2015. She is currently not registered within the industry, according to her online BrokerCheck report.
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