March 16, 2022 – An AWC was issued in which Koch was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Koch consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into an amended Form U5 filed by his member firm. The findings stated that the Form U5 disclosed allegations that Koch recommended risky and unsuitable investments in various outside business ventures where his wife was a partial owner, and that Koch and his wife diverted funds from the outside investments and accounts for their personal gain. Although Koch initially cooperated with FINRA’s investigation, he ceased doing so. (FINRA Case #2019062621801)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
More about Matthew