Jilena Yuen-Han Mok (also known as Jilena Yuenhan Mok and Yuen Han Mok), of San Francisco, California, a stockbroker registered with Edward Jones., has been fined $10,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Mok engaged in unauthorized trading in customer accounts. Letter of Acceptance, Waiver, and Consent No. 2022075150801 (November 14, 2023).
According to the AWC, on April 25, 2022, Mok executed eleven trades in the account of an Edward Jones customer without the customer’s knowledge or consent, resulting in a violation of FINRA Rule 2010 by Mok.
Additionally, from November of 2020 to October of 2022, Mok exercised discretion in the non-discretionary accounts of nine customers. The regulator stated that he made 108 trades without prior communication with the customers on the day of the trades. Therefore, he violated FINRA Rules 2010 and 3260(b).
Public Disclosure shows that Mok’s securities license was also revoked by the state of Maryland because Mok engaged in unauthorized trading, according to the regulatory action initiated by FINRA. Case No. 2023-0358 (January 4, 2024).
Mok was associated with Edward Jones in San Francisco, California from October 25, 2012, to March 9, 2023. On February 9, 2023, Edward Jones discharged Mok based upon allegations that Mok did not comply with policies relating to discretionary trading.
Mok has been associated with Aegis Capital Corp. in New York, New York since May 10, 2023, as a stockbroker. Mok has also been registered with Aegis Capital Corp. in San Francisco, California since May 11, 2023, as an investment advisor representative.
