Darren Kai Yun Lee (CRD # 5622342, Associated Person, Waipahu, Hawaii) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Lee’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Lee consented to the described sanctions and to the entry of findings that he willfully made false statements with respect to material facts on his Form U4 and failed to respond to FINRA requests for information. The suspension is in effect from December 7, 2009, through December 6, 2011. (FINRA Case # 2008016450001)