Were you the victim of former E1 Asset Management, Inc. broker Jae Kim (CRD# 4620963)? He was registered with E1 Asset Management, Inc. in Manor, New York, from 2003 to 2024.
In March 2024, FINRA barred him after he “consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation concerning the circumstances giving rise to a customer arbitration.”
Jae Kim Customer Complaints
He has been the subject of nine customer complaints between 2004 and 2023, one of which was closed without action, according to his CRD report. The most recent complaints were regarding:
June 2023. “Allegations are as per arbitration claim.” The case is currently pending.
May 2023. “Allegations per arbitration filing.” The customer is seeking $4,000,000 in damages, and the case is currently pending. The complaint was regarding equity OTC, common and preferred stocks, and options.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, E1 Asset Management, Inc. may be liable for investment or other losses suffered by Jae Kim’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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