BILL Q CHEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. BILL Q. CHEN (CRD No. 4442892) Respondent. Disciplinary Proceeding No. 2007011324501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Bill Q. Chen engaged in improper use of a bank customer's funds when, during the course of his employment with a bank affiliate of a FINRA member, and without the
02/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BILL Q.CHEN (CRD No. 4442892) Respondent. Disciplinary Proceeding No. 2007011324501 Hearing Officer - MC Date: February 12, 2009 INTRODUCTION Disciplinary Proceeding No. 2007011324501 was filed on December 31, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2007011324501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4442892 |
Other names1
Also known as1
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