Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Young Kim (Kim), previously associated with Centaurus Financial, 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 settled customer complaint with a damage request of $400,000.00 on July 23, 2021.
DURING THE PERIOD 2015 TO PRESENT, CUSTOMERS ALLEGE THAT THE REGISTERED REPRESENTATIVE RECOMMENDED UNSUITABLE AND ILLIQUID INVESTMENTS.