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Jongsik Kim Named in Dispute Alleging Forgery

Jongsik Kim (CRD #: 1617686), a broker registered with MML Investors Services, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on June 1, 2023. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On March 10, 2023, an investor filed a dispute alleging Jongsik Kim was involved in the forging of the client’s signatures starting in 2014, as well as the surrender of the client’s annuity without her consent. This dispute is currently pending.

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

Jongsik 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

Jongsik Kim is a registered broker in California, Nevada, New York, and Texas. He is also a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • MetLife Securities (CRD#:14251)
  • Metropolitan Life Insurance Company (CRD#:4095)
  • NYLIFE Securities (CRD#:5167)

Kurta Law Can Help

If you worked with Jongsik 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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