Yvonne Yuliene Russell (CRD # 1863146, Registered Representative, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $10,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Russell consented to the described sanctions and to the entry of findings that she loaned $150,830 to a firm customer. The findings stated that Russell’s member firm had policies prohibiting this activity, and she neither had permission to loan the funds, nor did she make her firm aware of the loans to the customer. The findings also stated that Russell engaged in an outside business activity, for compensation, without providing verbal or prompt written notice to her firm.

The suspension is in effect from January 20, 2009, through March 3, 2009. (FINRA Case # 2007010844301)