Our Staff has compiled our research into a database of FINRA Broker Allegations for John C Shen.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| John C Shen | 4859035 | 3 | 09/06/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John C Shen | 4859035 | 3 | 02/09/2022 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John C Shen | 4859035 | 3 | 10/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |