Jilena Mok: Unauthorized Trading Allegations Against Aegis Advisor

San Francisco financial advisor Jilena Mok (CRD# 6115674) was recently sanctioned and suspended in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Aegis Capital, having previously been registered with Edward Jones.

Ms. Mok’s BrokerCheck report discloses the recent FINRA sanction against her. Filed in November 2023, it alleged that as a representative of Edward Jones, she executed trades in a non-discretionary account without the client’s “authorization, knowledge, or consent.” She also allegedly made discretionary trades in the accounts of nine other customers without their prior written authorization or the firm’s approval of the accounts for discretionary trading. Without admitting or denying the findings, she consented to a fine of $10,000 and a two-month suspension from acting as a broker. These allegations also led to a sanction by securities regulators in the state of Maryland, which issued an order revoking her registration in November 2023.

Another disclosure on Ms. Mok’s BrokerCheck report concerns her termination from Edward Jones. Filed in February 2023, it states that the firm fired her in connection with allegations that she “did not adhere to Firm policies relating to discretionary orders.”

According to the Financial Industry Regulatory Authority, Jilena Mok holds 11 years of securities industry experience. Based in New York, New York and San Francisco, California, she has been a broker and an investment advisor with Aegis Capital since May 2023. She was previously registered with Edward Jones in San Francisco from 2012 until 2023. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Alabama, California, Minnesota, Nevada, New Mexico, New York, Pennsylvania, Puerto Rico, Tennessee, Texas, and Virginia.  (Information current as of January 18, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.