Defendant Name:
Kee Chan
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Kee Chan
First Document Date
15-May-2017
Initial Filing Format
Civil Proceeding
Case Number
17-cv-03605
Allegation Type
Broker Dealer
Federal District Court
New York, Southern District of New York
Affiliations
- Former: Managing Director at Nomura Securities International, Inc. (August 2009—June 2012)
- Former: Broker/Registered Representative at Nomura Securities International, Inc. (September 2009—December 2014)
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
First Resolution Date
16-May-2017
Headline Total Penalty and Disgorgement
$213,723
