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Evan Chen Allegedly Failed to Follow Instructions

Evan Chen (CRD #: 6121776), a broker registered with CitiGroup Global Markets, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on February 2, 2024. Investors who have concerns should keep reading. 

On October 17, 2023, an investor alleged that Evan Chen failed to follow instructions. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information 

Evan Chen has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in Arizona, California, and Washington. 

Evan Chen has registered with the following firms: 

  • CitiGroup Global Markets (CRD #: 7059) 
  • Cetera Investment Advisers (CRD #: 105644) 
  • Cetera Investment Services (CRD #: 15340) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • NSM Securities (CRD #: 134357) 

Kurta Law Can Help 

If you have worked with Evan Chen and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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