John William Bach Jr. of Springboro Ohio a stockbroker registered with Harbor Financial Services LLC has been discharged on February 2, 2018 supported by accusations that (1) Bach failed to follow the firm’s policies and instructions concerning the establishment of an investment account and (2) Bach potentially designated himself as the broker of customers’ investment accounts held away from the firm.
This is not the first time that Bach has been terminated from a brokerage firm for misconduct. Particularly, on March 15, 2012, Bach was discharged by Morgan Stanley Smith Barney based upon allegations that he inappropriately became broker of record on customers’ outside brokerage accounts.
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