Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 6, 2017 indicate that former California-based JP Morgan Securities broker Phi Phan has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Phan (CRD# 6191955).
Phi Phan has spent two years in the securities industry and was most recently registered with JP Morgan Securities in San Jose, California (2013-2015). She has no previous registrations. She has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 63 (Uniform Securities Agent State Law Examination). She is currently not affiliated with any state or firm.
According to her BrokerCheck report, Phi Phan has been sanctioned by FINRA and was terminated from a former employer.
In May 2017 FINRA sanctioned her following allegations she “failed to appear and provide on-the-record testimony in connection with FINRA’s investigation into allegations that she may have structured a series of cash deposits into her personal bank account to avoid the filing of a Currency Transaction Report.” She was barred from acting as a broker or otherwise associating with firms that sell securities to the public.
In 2015 she was terminated from her position at JP Morgan Chase Bank following “non-securities related allegations” that she “was unable to fully substantiate transactions in her personal bank account.”
If you or someone you know has lost money investing with Phi Phan, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.