James Y. Lin
Professional summary
James Yungfu Lin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, James had worked at 2 firms, which includes NATIONAL CLEARING CORP., INTERFIRST CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 1996 - November 1, 2004
NATIONAL CLEARING CORP.
August 21, 1985 - April 12, 1988
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
NATIONAL CLEARING CORP.
CRD#: 14343 / SEC#: , 8-30593
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 37 |
Red Flags
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