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Keith Chan Involved in Investor Dispute

Keith Chan (CRD #: 6616753), a broker registered with Futu Clearing, is involved in a pending dispute, according to his BrokerCheck record, accessed on June 3, 2022. Read on to learn more about Keith Chan’s conduct as a broker.

Investor Dispute

On May 12, 2022, an investor named Keith Chan in a dispute alleging that Futu Clearing did not disclose option exchange fees. This dispute is currently pending.

FINRA Rule 2360

FINRA Rule 2360 regulates options trading. It requires that firms disclose relevant information about options, such as how to buy and exercise options, the risks and costs involved, and the tax consequences of options trading.

Background Information

Keith Chan has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 79TO – Investment Banking Registered Representative Examination
  • Series 3 – National Commodity Futures Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 4 – Registered Options Principal Examination
  • Series 24 – General Securities Principal Examination

Keith Chan is a registered broker in 29 states and the Virgin Islands.

Kurta Law Can Help

If you worked with Keith Chan and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

 

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