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Thursday, December 07, 2017 10:40:08 AM
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=127157452
She had 2 issues as a broker and was censured & fined. She is not currently registered.
Individual Fined Shoou Chyn Kan:
Registered Principal, Bayside, New York) submitted a Letter of Acceptance, Waiver, and Consent in which she was censured and fined $10,000. Without admitting or denying the allegations, Kan consented to the described sanctions and to the entry of findings that Kan, acting on behalf of her member firm, permitted individuals to act in capacities that required registration while their registration status with NASD was deficient due to Kan’s failure to submit fingerprint records on their behalf. The findings also stated that Kan, acting on behalf of her member firm, allowed individuals to “park” their registrations with her firm by maintaining their registrations as general securities representatives through their purported associations with the firm when in fact they were not actively involved in the firm’s securities business or otherwise functioning as representatives of the firm. NASD found that Kan, acting on behalf of her member firm, conducted a securities business when the firm’s net capital fell below the minimum amount required under SEC Rule 15c3-1. (NASD Case #C10050015)
https://brokercheck.finra.org/individual/summary/1690052
Jenny Kan and Yung Kong Chin appear to be the main players here as they have been involved in a number of the OTC Pink plays.
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