Last Updated: September 2023 (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)
- Previous Firms:
- Function: Stock Broker/ Financial Advisor/CEO of PHX Financial
- Aliases: None
- Primary Location: New York, NY
- CRD 4871316
- Can Kevin Chen be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $764,220
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 1/2023 a customer of PHX Financial filed a FINRA arbitration alleging that Kevin Chen is a registered broker and Chief Executive Officer of PHX Financial. The relevant time period of the wrongdoing is 9/2015-2/2022. Chen indicates that he was not the broker of record on this currently pending matter which seeks damages of $764,220.
Allegations of Broker Misconduct Against Kevin Chen
A customer of PHX Financial has alleged non specific wrongdoing in connection with the handling of af customer account at PHX Financial.
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
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.
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.
