Suresh V. Kumar of New York, New York, a stockbroker registered with T3 Trading Group LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kumar engaged in private securities transactions. FINRA Enforcement (AWC) Case No. 2020066434701 (May 23, 2022). According to the Order, during the time…
Kejuan Yang of New York New York a former Northwestern Mutual Investment Services registered representative has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Yang sold away from T3 Trading Group. Letter of Acceptance Waiver and Consent No. 2016050545001…