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
Affiliations
- Former: Broker/Registered Representative at Nomura Securities International, Inc. (August 2009—June 2012)
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 3 years
- Bar from participating in any penny stock offering for 3 years
First Resolution Date
