TRACY CHEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Tracy Chen (CRD No. 2553295), Respondent. DISCIPLINARY PROCEEDING No. 2013036678201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2011 and April 2013 (“the relevant period”), while associated with Morgan Stanley, Tracy Chen submitted 12 false expense reports to her firm containing reimbursement claims for fictitious “business development” expenses totaling
02/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. TRACY CHEN (CRD No. 2553295), Respondent. Disciplinary Proceeding No. 2013036678201 Hearing Officer-MC EXTENDED HEARING PANEL DECISION February 12, 2016 Respondent Tracy Chen submitted false expense reports seeking reimbursement from her FINRA member firm employer for expenses she did not incur, and converted firm funds paid to her as a result, in violation of FINRA Rule 2010.
Reference 2013036678201data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2553295 |
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