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Vianne Chen is the Subject of Criminal Charges

Vianne Chen (CRD #: 6832893), a broker registered with JP Morgan Securities, is facing criminal charges. This is according to her BrokerCheck record, accessed on July 1, 2024. Keep reading if you have questions regarding her alleged conduct. 

Pending Charge 

On May 8, 2024, Vianne Chen was charged with the following: 

  • Conspiracy to Commit Bank Fraud in violation of 18 U.S.C. §1344
  • Wire Fraud in violation of 18 U.S.C. §1343
  • Mail Fraud in violation of 18 U.S.C. §1341
  • Identity Theft in violation of 18 U.S.C. §1028(a)(7) and (2)

She allegedly was engaged in a scam that targeted the elderly. Certain criminal charges may qualify as a statutory disqualification for registering as a broker with FINRA. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Any of these criminal charges could also violate this rule. 

Background Information 

Vianne 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 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

She has registered with two firms: JP Morgan (CRD #: 79) and NYLife Securities (CRD #: 5167). 

Kurta Law Can Help 

If you have worked with Vianne Chen and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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.