JACK XIAO XI CHEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039710901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jack Xiao Xi Chen, Respondent Investment Company and Variable Contracts Representative CRD No. 4456395 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jack Xiao Xi Chen, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014039710901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4456395 |
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