Daniel Ki Roh, of Fort Lee, New Jersey, a stockbroker currently registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on April 18, 2017, in which the customer requested $7,250.00 in damages based upon allegations that he omitted information from the customer concerning the fees on mutual fund transactions effected in the customer’s investment account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Roh has been named in three additional customer initiated investment related disputes regarding allegations of his wrongdoing while he was associated with Chase Investment Services Corp. Specifically, on January 10, 2007, a customer initiated investment related written complaint involving Roh’s conduct was settled for $7,811.48 in damages based upon allegations that he misrepresented the terms and conditions of a variable annuity contract purchased by the customer.
Subsequently, on January 22, 2009, a customer filed an investment related written complaint regarding Roh’s activities, wherein the customer requested $47,000.00 in damages based upon allegations that he effected transactions in the customer’s managed account which were not suitable for the customer. Further, on October 22, 2013, a customer filed an investment related written complaint involving Roh’s conduct, in which the customer requested $10,000.00 in damages based upon allegations that he effected unauthorized transactions in the customer’s managed investment account.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
