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Person

PATRICK WALTER CHAPIN

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Patrick W. Chapin (CRD No. 2149171), and Christopher B. Birli (CRD No. 4366441), Respondents. DISCIPLINARY PROCEEDING No. 2012032120001 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 1, 2014 INTRODUCTION Disciplinary Proceeding No. 2012032120001 was filed on March 27, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    03/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Patrick W. Chapin (CRD No. 2149171), and Christopher B. Birli (CRD No. 4366441), Respondents. DISCIPLINARY PROCEEDING No. 2012032120001 COMPLA1NT The Department of Enforcement alleges: SUMMARY 1. At all relevant times herein, Respondents Patrick W. Chapin ("Chapin") and Christopher B. Birli ("Birli") were associated with MetLife Securities, ("MetLife"

    Reference 2012032120001data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2149171

Other names1

Also known as1

Patrick W. Chapin

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