ALFRED CHI CHEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Alfred Chi Chen, CRD No. 3173732, Respondent. Disciplinary Proceeding No. 2008015651902 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT May 30, 2012 INTRODUCTION Disciplinary Proceeding No. 2008015651902 was filed on November 23, 2011, by the Department of Enforcement of the Financial Industry Regulatory (FINRA) (Complainant). Respondent Alfred Chi Chen submitted an Offer of Settlement
11/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALFRED CHI CHEN (CRD No. 3173732) Respondent. Disciplinary Proceeding No. 2008015651902 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March, September and October of 2008, Respondent Alfred Chi Chen, a registered representative at FINRA member firm Wells Fargo Investments, LLC ("WFI"), engaged in unauthorized trading in three customers' accounts. Two of the
Reference 2008015651902data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3173732 |
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