Defendant Name: Kee Chan

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Kee Chan
First Document Date 19-May-2017
Initial Filing Format Administrative Action
File Number 3-17993
Allegation Type Broker Dealer


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a) (Not specified)


First Resolution Date

Related Documents:

34-80732 19-May-2017 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Nomura Securities International, Inc.
SEC v. Kee Chan
SEC v. James H. Im