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Stacey Chen Subject of FINRA Bar

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 4, 2025 at 1:44am

Stacey Chen (CRD #: 7593484) has been barred by FINRA. This is according to her BrokerCheck record, accessed on August 3, 2025. Keep reading if you have questions regarding her alleged conduct. 

Regulatory Action 

On April 2, 2025, FINRA barred Stacey Chen following allegations that she failed to respond to FINRA requests for information in violation of FINRA Rule 9552. 

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months are permanently barred.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Stacey Chen has passed the following exams: 

  • Series 79TO Investment Banking Registered Representative Examination 
  • SIE – Securities Industry Essentials Examination 

Kurta Law Can Help

If you worked with Stacey Chen and 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 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. 

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