Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Kim (Kim), currently associated with Westpark Capital, INC., 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 pending customer complaint on September 13, 2024.
Claimant alleges negligence, breach of contract, breach of fiduciary duty, common law fraud, violation of California’s Securities Act, elder abuse and sale of unregistered securities as it relates to the handling of their account.