Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jae Kim (Kim), previously associated with E1 Asset Management, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kim recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 19, 2024.
Without admitting or denying the findings, Kim consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation concerning the circumstances giving rise to a customer arbitration.