December 18, 2017 – An AWC was issued in which Zhang was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Zhang consented to the sanction and to the entry of findings that he refused to appear and provide FINRA on-the-record testimony in connection with an investigation into allegations of misconduct by him while associated with his member firm. The findings stated that these allegations included that Zhang downloaded to his personal computer proprietary and confidential information belonging to the firm without its knowledge or approval, and accessed other firm employees’ emails without their authorization. Zhang was affiliated with the following securities broker dealer: KCG AMERICAS LLC (CRD# 149823) 2015 – 2017 (2 years). (FINRA Case #2017054105501). See, https://www.finra.org/sites/default/files/fda_documents/2017054105501%20Zhengquan%20Zhang%20CRD%205775459%20AWC%20Redacted%20sl.pdf.