Did You Lose Money Because of Jilena Mok?
Filed: January 30, 2024
Jilena Mok (also known as Yuen Han Mok) has been the subject of two (2) regulatory events and one (1) termination event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Jilena Yuen-Han Mok.
Who Is Jilena Yuen-Han Mok of Aegis Capital Corp.?
- Advisor Name: Jilena Yuen-Han Mok
- Aliases: Jilena Yuenhan Mok, Yuen Han Mok
- CRD: 6115674
- Location: New York, New York and San Francisco, California
- Current Employer: Aegis Capital Corp.
- Previous Firms: Edward Jones
- Number of Known Regulatory Events: 2
- Number of Known Termination Events: 1
- Can Jilena Mok Be Sued: Yes, in Private Arbitration
- Can Jilena Mok’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by Jilena Mok, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Jilena Mok For Broker Misconduct
As of this publication date, Jilena Mok has been the subject of 2 regulatory events and 1 termination event. Let’s review them below.
In November 2023, Maryland initiated a regulatory action against or in reference to Jilena Mok for effecting eleven transactions in a customer’s non-discretionary account without the customer’s authorization, knowledge, or consent. Also, between November 2020 and October 2022, Mok exercised discretionary authority with respect to 108 trades in the non-discretionary accounts of nine other customers without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary by Edward Jones.
In November 2023, FINRA initiated a regulatory action against or in reference to Jilena Mok for effecting trades in a customer’s non-discretionary account without the customer’s authorization, knowledge, or consent. The findings stated that Mok’s member firm later offered to reverse the trades, but the customer declined. The findings also stated that Mok exercised discretionary authority with respect to trades in nine other customers’ accounts without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary by her firm.
In February 2023, Edward Jones terminated Jilena Mok for concerns that the registered representative did not adhere to Firm policies relating to discretionary orders.
How To File A Claim Against Jilena Mok of Aegis Capital Corp. (previously with Edward Jones) To Get Your Money Back
If you have questions about Jilena Mok, Aegis Capital Corp., Edward Jones, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.
