Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Chen (Chen), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,180,000.00 on December 18, 2025.
Deceased Claimants estate alleges that between the period from April 2019 to December 2023 there were violations associated with the SEC’s Regulation Best Interest rules.