Defendant Name:
Yimin Ge
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of SG Americas Securities LLC and Yimin Ge
First Document Date
22-Dec-2015
Initial Filing Format
Administrative Action
File Number
3-17017
Allegation Type
Broker Dealer
Affiliations
- Former: Senior Trade on SG Americas Securities LLC's Non-Agency Mortgage Desk (April 2011 to mid-2014) at SG Americas Securities LLC (April 2011—2014)
Violations Alleged
Related Violations Alleged
Yimin Ge is alleged to have aided and abetted
SG Americas Securities LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Yimin Ge is alleged to have aided and abetted Sheila Huang's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Yimin Ge is alleged to have caused Sheila Huang's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Yimin Ge is alleged to have aided and abetted
SG Americas Securities LLC's violation of Sec 17(a)(1) of the Securities Act (willfully/knowingly).
Yimin Ge is alleged to have aided and abetted Sheila Huang's violation of Sec 17(a)(1) of the Securities Act (willfully/knowingly).
Yimin Ge is alleged to have caused Sheila Huang's violation of Sec 17(a)(1) of the Securities Act.
Yimin Ge is alleged to have aided and abetted
SG Americas Securities LLC's violation of Sec 17(a)(3) of the Securities Act (willfully/knowingly).
Yimin Ge is alleged to have aided and abetted Sheila Huang's violation of Sec 17(a)(3) of the Securities Act (willfully/knowingly).
Yimin Ge is alleged to have caused Sheila Huang's violation of Sec 17(a)(3) of the Securities Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 3 years
- Bar from participating in any penny stock offering for 3 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 3 years
- bar from associating with any Financial Industry Regulatory Authority (?FINRA?) member (of permanent duration)
First Resolution Date
22-Dec-2015
Headline Total Penalty and Disgorgement
$1,036,093
Other Defendants in Action:
