Ben Jen

03/13/2025: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BEN JEN (CRD No. 7701847), and RAY ROHNE (CRD No. 1942268), Respondents. Disciplinary Proceeding No. 2022075977501 Hearing Officer–BDC DEFAULT DECISION March 13, 2025 Respondent Ray Rohne is barred from associating with any FINRA member firm in any capacity for failing to appear for on-the-record testimony requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Respondent Ben Jen is barred from associating with any FINRA member firm in any capacity for failing to fully provide all documents and information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

08/01/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2022075977501 Department of Enforcement, Complainant, v. Ben Jen (CRD No. 7701847) and Ray Rohne (CRD No. 1942268), Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Ben Jen and Ray Rohne failed to cooperate, or fully cooperate, in FINRA’s investigation into their activities regarding a failed sale of shares in a private space exploration company. Jen failed to produce certain documents and information FINRA requested pursuant to FINRA Rule 8210. Rohne failed to appear and provide testimony FINRA requested pursuant to FINRA Rule 8210. As a result, Jen and Rohne each separately violated FINRA Rules 8210 and 2010.

Reference 2022075977501data-portal.finra.orgdata-portal.finra.orgfinra.org