Alexander Joh Facing Allegations of Converting Funds from an Investor
Alexander Joh (CRD #: 7248158), a broker registered with JP Morgan Securities, is the subject of a civil action, according to his BrokerCheck record, accessed on February 24, 2022.
According to the disclosure, on November 29, 2021, a claimant initiated a civil action. The claimant alleged that Alexander Joh aided and abetted in the conversion of funds by assisting in the opening of a fraudulent affiliate bank business account from an entity that did not have authority to do so.
Conversion or misappropriation of funds is a serious concern in the securities industry. FINRA Rule 2150 forbids the improper use of customers’ securities or funds. Brokers who engage in conversion fail to uphold FINRA Rule 2010, which demands brokers adhere to high standards of commercial honor.
Alexander Koh has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 6TO Investment Company Products / Variable Contracts Representative Examination
- SIE Securities Industry Essentials Examination
Alexander Koh has only registered with JP Morgan Securities (CRD #: 79).
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