FINRA Bars Neil Koch for Alleged Refusal to Provide Information
Neil Koch (CRD #: 4800437), a broker formerly registered with American Enterprise Investment Services, has been barred by FINRA, according to his BrokerCheck record, accessed on July 22, 2022. Keep reading if you have questions about Neil Koch’s conduct as a broker.
Bar by FINRA
FINRA suspended Neil Koch on June 28, 2022, after he allegedly refused to provide information and documents requested as part of an investigation into his discharge from American Enterprise Investment Services. The firm allegedly fired him for breaking their code of conduct through unspecified actions committed outside of the firm.
According to an Acceptance, Waiver & Consent (AWC) agreement, Neil Koch’s alleged refusal to provide documents and information violated FINRA Rules 8210 and 2010.
FINRA Rules 8210 and 2010
FINRA Rule 8210 requires that members provide testimony, documents, and information upon FINRA request. Failure to do so also violates FINRA Rule 2010, which holds brokers to high standards of professional honor.
Sanctions
FINRA indefinitely barred Neil Koch from associating with FINRA members in all capacities starting on June 28, 2022.
You can read the full AWC here.
Criminal Charge
On July 1, 2021, Neil Koch was convicted of domestic assault by strangulation.
Background Information
Neil 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 previously worked for American Enterprise Investment Services (CRD#:26506) and Thrivent Investment Management (CRD#:18387).
Kurta Law Can Help
If you worked with Neil Koch and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.
Loading...
Reload document 
Open in new tab