December 19, 2017 – An AWC was issued in which Le was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Le consented to the sanction and to the entry of findings that she refused to appear for FINRA on-the-record testimony in connection with its review of allegations reported on a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by her member firm that she failed to disclose an outside business activity.   Le was previously affiliated with the following securities broker dealer:  STATE FARM VP MANAGEMENT CORP. (CRD# 43036)2013 – 2016 (3 years) (FINRA Case #2016050589901).   See,