Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Kim (Kim), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kim recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.
Client alleges shares of stock were sold after client specifically requested they be held until further notice. Activity occurred between March 18, 2020 and March 26, 2020.