Daniel YJ Kim of Flushing New York a stockbroker currently employed by J.P. Morgan Securities LLC is the subject of a customer initiated investment related complaint on May 5, 2016 in which the customer requested $50,000.00 in damages based upon accusations that unsuitable investment recommendations were made to the customer concerning mutual fund trades executed in the customer’s account while Kim was associated with J.P. Morgan Securities LLC.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that a customer initiated investment related arbitration claim regarding Kim’s conduct was settled for $67,500.00 in damages supported by allegations that misrepresentations were made concerning mutual fund investments purchased by the customer; unauthorized trades were executed in the customer’s account; and mutual fund trades placed in the customer’s account were in no way suitable for the customer. FINRA Arbitration No. 10-00194 (Mar. 24, 2011).
