JOSEPH YEE CHEN

JOSEPH YEE CHEN is currently employed as a Broker and/or Investment Adviser at NATIONWIDE SECURITIES, LLC located at 8000 S. GESSNER, SUITE 800, HOUSTON, TX, 77036.

JOSEPH YEE CHEN has worked at NATIONWIDE SECURITIES, LLC since August 01, 2008

Disclosure History

JOSEPH YEE CHEN has 2 Disclosure Event(s).

Date: July 06, 2011
Category: Customer Dispute
Allegations: PLAINTIFF ALLEGES THE REGISTERED REPRESENTATIVE ACTED UPON POWER OF ATTORNEY PAPERWORK TO THE DETRIMENT OF THE PLAINTIFF.
Settlement Amount: $17,500.00

Date: August 12, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT PRODUCT WAS NOT SUITABLE.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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