Last Updated: February 2026 (New York, NY)
Kevin Chen Investigation Summary
Here’s what you need to know about New York, NY, stockbroker Kevin Chen:
- Name: Mr. Kevin Chen
- Current Employer: PHX Financial (Phoenix Financial since 5/2011)
- Other Business Affiliations: Weathervane Financial LLC, Weathervane Capital, KAJJ Management, JCC Asset Management, JJFT Management, First Financial Resources, Benefit Funding Resources, PHX Management
- Function: Stock Broker/ Financial Advisor/CEO of PHX Financial
- Aliases: None
- Primary Locations: New York, NY; Boca Raton, FL; Ft. Lauderdale, FL
- CRD 4871316
- Can Kevin Chen be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Filed in Texas State Court
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kevin Chen As Your Stockbroker?
In 12/2025 a customer filed an action in the Dallas Division, Northern District of Texas seeking restitution for an investment in private equity. The complaint, filed on behalf of the estate of a deceased client, alleges that Kevin Chen breached his fiduciary duty from October 2019-December 2024. A specific damage amount is not yet been established in this pending matter.
Allegations of Broker Misconduct Against Kevin Chen
- Breach of Fiduciary Duty
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
See this for information on our other investigations of PHX Financial brokers
If you have suffered investment losses in an account handled by Kevin Chen, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.