Investors Allege Mimi Yoo Park Mismanaged Investments

Mimi Yoo Park (CRD #: 4684111), a broker registered with U.S. Bancorp Investments, is the subject of a pending dispute, according to her BrokerCheck record, accessed on May 1, 2025. Keep reading if you want to know more about her alleged conduct as a broker.

Investor Disputes

On March 19, 2025, multiple investors filed a dispute alleging that Mimi Yoo Park mismanaged their investments. They seek $95,000 in this pending dispute.

On November 22, 2024, an investor alleged that Mimi Yoo Park misappropriated funds and failed to execute a wire requested by the client. The investor sought $600,000 in damages but this dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without an outside review. Investors can still recover damages following a denial by pursuing FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 2150

FINRA Rule 2150 prohibits the improper use of investors’ funds.

Background Information

Mimi Yoo Park has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

Mimi Yoo Park is a registered broker in 11 states and a registered investment adviser in California.

She has also worked for the following firms:

• LPL Financial (CRD#:6413)
• Wells Fargo Clearing Services (CRD#:19616)
• Summit Brokerage Services (CRD#:34643)
• ING Financial Partners (CRD#:2882)
• AXA Advisors (CRD#:6627)

Kurta Law Can Help

If you worked with Mimi Yoo Park 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 that 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.