PAUL KOO at ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 1784638

Disclosure #1 for PAUL KOO

    • eventDate: 5/17/2022
    • Disclosure Type: Criminal
    • Disclosure Resolution: Pending Charge
    • Disclosure Detail :: criminalCharges :: Charges: Securities fraud in violation of Title 15, United States Code Sections 78j(b) and 78ff, Title 17, Code of Federal Regulations, Section 240. 10b-5, and Title 18, United States Code, Section 2.
    • Disposition: Pled guilty
    • Broker Comment: As described in the Statement of Facts that served as the basis for the Plea Agreement, beginning in at least 2014 and continuing into March 2020, AGI US engaged in a scheme to defraud investors in a series of private investment funds by making false and misleading statements to current and prospective investors that substantially understated the risks being taken by the funds, and also overstated the level of independent risk oversight over the funds. The DOJ Statement of Facts states that the misconduct occurred only within the small Structured Products Group at AGI US. The Government’s investigation has not revealed evidence that anyone at AGI US outside of the Structured Products Group was aware of the misconduct before March 2020. The registrant was never part of the Structured Products Group. Pursuant to the Plea Agreement, AGI US has agreed to (i) cooperate fully with the Office and other domestic law enforcement and regulatory authorities and agencies; (ii) promptly report any newly learned evidence or allegations of conduct that might constitute a violation of the securities laws that involve its employees or agents; and (iii) pay $463,063,086 in forfeiture, $3,238,748,199.69 in restitution and a stipulated fine of $2,331,189,703.78. The forfeiture amount was deemed satisfied by total payments on May 17, 2022 of $174,300,000. The Office credited against the restitution amount payments previously made to victims and payments to be made to victims pursuant to a parallel resolution with the SEC. AGI US has six months to pay the remaining restitution amount. The Office credited against the stipulated fine amount payments AGI US had made to victims and the civil monetary penalty of $675,000,000 paid to the SEC pursuant to parallel civil charges.

Should I file a FINRA complaint against brokers like PAUL KOO?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by PAUL KOO’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About PAUL KOO

What is PAUL KOO’s Central Registration Depository (CRD) Number?

Which firm is PAUL KOO associated with?


Where is PAUL KOO located?

1633 BROADWAY, NEW YORK, NY, 10019

Where can I find more details about PAUL KOO’s Investment Firm?

Visit to read a detailed report for ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

Are there any disclosures, allegations or complaints filed against PAUL KOO?

Yes. There are disclosures, allegations, or complaints filed against PAUL KOO. Click here to view all details

Where can I download a detailed FINRA report for PAUL KOO?

Click here to download a detailed FINRA report for PAUL KOO

Is it safe to do business with PAUL KOO?

We’re not sure. Please research PAUL KOO’s disclosures, allegations and complaints before taking a decision

Originally reported on November 15, 2022 @ 11:35 pm

The views and opinions expressed in these articles are those of the source and do not necessarily reflect the official position of ‘Skeptic Files’, which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.

This article is syndicated automatically through a third-party agency from

To view the original article at, you can visit




We will be happy to hear your thoughts

Leave a reply

The Skeptic Files
Register New Account