KELVIN KOMA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/03/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Kelvin Koma, CRD No. 5327866, Respondent. Disciplinary Proceeding No. 2008015985501 Hearing Officer: Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 3, 2009 INTRODUCTION Disciplinary Proceeding No. 2008015985501 was filed on July 22, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Kelvin Koma ("Koma")
07/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kelvin Koma (CRD No. 5327866) Respondent. DISCIPLINARY PROCEEDING NO. 2008015985501 HEARING OFFICER: COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. In October 2008, during his employment as a Personal Banker with JP Morgan Chase Bank, N.A. (the "Retail Bank"), an affiliate of Chase Investment Services Corp. (the "Firm"), Kelvin Koma ("Koma") misappropriated a total
Reference 2008015985501data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5327866

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