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Investor Seeks $4 Million in Damages in Dispute with Jae Kim

Jae Kim (CRD #: 4620963), a broker registered with E1 Asset Management, has been named in a pending dispute, according to their BrokerCheck record, accessed on June 13, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On May 9, 2023, an investor named Jae Kim in allegations of misconduct. The client seeks $4 million in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Jae Kim has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 4 – Registered Options Principal Examination
  • Series 24 – General Securities Principal Examination

Jae Kim is a registered broker in six states.

Kurta Law Can Help

If you worked with Jae Kim and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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