Mark Charles Koehler was recently barred by the Financial Industry Regulatory Authority (FINRA) for allegedly refusing to produce FINRA-requested information and documents after FINRA began an investigation following a tip that he had allegedly engaged in unsuitable trades in the account of a senior client. FINRA also alleged that he traded unsuitably in another senior client’s account. He was accused of engaging in unsuitable trading, including short-term mutual fund switching and excessive trading in client accounts, placing undue influence on the second client before her death, and failing to disclose to his member firm his status as a named beneficiary in the second client’s will. These are all against securities laws. Please call us today at 312-332-4200 if you lost money with Mark Koehler and would like to find out how to recover your losses on a contingency fee basis. Attorneys are standing by to take your call.
Koehler was previously registered with First Union Capital Markets, First Union Securities, Morgan Stanley, Janney Montgomery Scott, Ferris, Baker Watts Inc., Sterne Agee Financial Services, Cetera Advisor Networks and Kovack Securities in Chadds Ford, Pennsylvania from March 2015 until June 2017. He has three customer disputes against him and has been barred from the industry.
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