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Articles Posted in Tansamerica Financial Advisors

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FINRA Files Complaint Against Toni Chen Over Failure to Respond to Inquiries Relating to a Pyramid Scheme

The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker Toni Chen (Chen) concerning allegations that during the course of FINRA’s investigation into whether Chen was involved in a pyramid scheme that may also constitute “selling away” activities. Chen failed to respond to FINRA’s requests. On October 18, 2013,…

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