Jameson Shin is the Subject of a FINRA Regulatory Action
Jameson Shin (CRD #: 2436899), a former broker with LPL Financial, has been suspended by FINRA, according to his BrokerCheck record, accessed on September 9, 2021. He has another regulatory action from 2018. Investors may also have worked with Jameson Shin through his role at Viridian Investment Management.
On July 22, 2021, FINRA alleged that Jameson Shin failed to comply with an arbitration award. Pursuant to FINRA Rules, Jameson Shin was then suspended from FINRA membership. FINRA states that the suspension will continue until Jameson Shin pays the award.
But FINRA has already indefinitely suspended Jameson Shin. On July 18, 2018, an investor alleged that Jameson Shin failed to respond to a FINRA request for information.
Jameson Shin Background Information
Jameson Shin has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 52 Municipal Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
Jameson Shin has worked with the following firms:
- LPL Financial (CRD #: 6413)
- Wells Fargo Advisors (CRD #: 19616)
- Wells Fargo Investments (CRD #: 10582)
- WAMU Investments (CRD #: 599)
- RBC Dain Rauscher (CRD #: 31194)
- WM Financial Services (CRD #: 599)
- Dean Witter Reynolds (CRD #: 7556)
- Olde Discount Corporation (CRD #: 5979)
- Fortis Investors (CRD #: 421)
Kurta Law Can Help
If you worked with Jameson Shin and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.