Tag Archives: Jim Jinkook Seol

Ameriprise Broker Barred For Outside EB-5 Activities

March 15, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jim Jinkook Seol of Irvine California a stockbroker formerly employed by Ameriprise Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a National Adjudicatory Council Decision which affirmed FINRA’s Hearing Panel’s Decision containing findings that Seol sold away from his firm and engaged in […]

Read More »

Ameriprise Financial Services Stockbroker Charged With Selling Away

June 08, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jim Jinkook Seol, of Irvine, California, a stockbroker with Ameriprise Financial Services, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging Seol engaged in unauthorized outside business activities, private securities transactions, and made false statements to his firm concerning his conduct. Department of Enforcement v. Seol, No. 201403983910101 […]

Read More »