Tag Archives: Western Regional Center Inc.

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 […]

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