Steve Woo, of Torrance, California, a stockbroker formerly registered with JP Morgan Securities LLC, has been terminated from employment on January 27, 2016, based upon allegations that he effected trades in customer accounts on an unauthorized basis. The firm particularly alleged that customers never provided Woo with consent for discretion to be exercised by him in their investment accounts.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that on May 2, 2016, a customer initiated investment related written complaint involving Woo’s conduct was settled for $5,000.00 in damages based upon allegations that Woo effected unauthorized mutual fund trades in the customer’s account in August of 2015.
Woo was subsequently associated with Wedbush Securities Inc. between March 8, 2016, and June 6, 2017.
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