{"id":2962,"date":"2015-08-24T00:00:00","date_gmt":"2015-08-24T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/broker-focus-broker-peter-yao-permanently-barred-from-securities-industry\/"},"modified":"2018-10-08T12:41:41","modified_gmt":"2018-10-08T16:41:41","slug":"broker-focus-broker-peter-yao-permanently-barred-from-securities-industry","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-focus-broker-peter-yao-permanently-barred-from-securities-industry\/","title":{"rendered":"Broker Focus: Broker Peter Yao Permanently Barred from Securities Industry"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Focus-Broker-Peter-Yao-Permanently-Barred-from-Securities-Industry.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1746\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Focus-Broker-Peter-Yao-Permanently-Barred-from-Securities-Industry-1024x683.jpg\" alt=\"Broker Focus: Broker Peter Yao Permanently Barred from Securities Industry on silverlaw.com\" width=\"1024\" height=\"683\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Focus-Broker-Peter-Yao-Permanently-Barred-from-Securities-Industry-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Focus-Broker-Peter-Yao-Permanently-Barred-from-Securities-Industry-300x200.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>Failure to respond to FINRA request for information ends Yao\u2019s securities career<\/h2>\n<\/p>\n<p>After only 8 years in the securities industry, broker Peter Yao, most recently registered with Morgan Stanley out of Seattle, Washington, has been permanently barred by FINRA. In short, this action by FINRA means Peter Yao may no longer act as a broker or otherwise associate with firms that sell securities to the public.<\/p>\n<p>Why was he barred? According to the <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/4751615\"  target=\"_blank\">FINRA BrokerCheck website<\/a>, Yao failed to respond to a regulatory agency request for information. This follows a customer dispute from July 21, 2014 in which the customer alleged that Yao abused his relationship by convincing the customer to make a loan to another customer and made false promises of repayment. In that claim, the customer requested $120,000 in damages. This dispute is still pending.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/broker-focus-broker-peter-yao-permanently-barred-from-securities-industry\/\"  title=\"Continue Reading Broker Focus: Broker Peter Yao Permanently Barred from Securities Industry\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Failure to respond to FINRA request for information ends Yao\u2019s securities career After only 8 years in the securities industry, broker Peter Yao, most recently registered with Morgan Stanley out of Seattle, Washington, has been permanently barred by FINRA. In short, this action by FINRA means Peter Yao may no longer act as a broker [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2962","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Broker Focus: Broker Peter Yao Permanently Barred from Securities Industry &#8212; Securities Arbitration Lawyers Blog &#8212; August 24, 2015<\/title>\n<meta name=\"description\" content=\"Read the full article on Broker Focus: Broker Peter Yao Permanently Barred from Securities Industry on Silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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