FINRA v. Justin Kim

Justin Kim, without admitting or denying the findings, consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA. This matter originated from FINRA's review of a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Kim’s member firm disclosing his termination due to his failure to report an arrest in accordance with its code of conduct and employee handbook, and further disclosing a pending matter.

Summary generated from official Financial Industry Regulatory Authority press release