TRACY P. CHAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tracy P. Chan, CRD No. 3107299, Respondent. Disciplinary Proceeding No. 20090210296-20 Hearing Officer: Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: 08/16/11 INTRODUCTION Disciplinary Proceeding No. 20090210296-20 was filed on June 8,2011 by the Department of Enforcement of the Financial
Reference 2009021029620data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3107299

Other names1

Also known as1

TRACY PUILUM CHAN

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