Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kim (Kim), currently associated with J.P. Morgan Securities LLC, 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 with a damage request of $43,000.00 on May 07, 2021.
Client alleges poor recommendation/poor advice regarding the sale of managed account resulting in a tax liability. Activity Dates: 11/05/2020 through 11/05/2020.