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Marc Koch is the Subject of Misrepresentation Allegations

Marc Koch (CRD #: 4978078), a broker registered with Morgan Stanley, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on April 22, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On March 11, 2024, an investor alleged Marc Koch engaged in misrepresentation. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Marc Koch has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 50 states, D.C., Puerto Rico, and the Virgin Islands. He is a registered investment adviser in New York and Texas. 

During his 10 years of experience, Marc Koch has registered with five firms: 

  • Morgan Stanley (CRD #: 149777) 
  • First Republic Investment Management (CRD #: 108559) 
  • First Republic Securities Company (CRD #: 105108) 
  • JP Morgan Securities (CRD #: 79) 
  • Credit Suisse Securities (CRD #: 816) 

Kurta Law Can Help 

If you have worked with Marc Koch and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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