| Read Time: 2 minutes | News & Articles |

DID GRACE CHONG KIM CAUSE YOU INVESTMENT LOSSES?

Grace Kim Of Avantax Investment Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Grace Kim of Avantax Investment Services, Inc.?

Grace Kim (CRD #4206921) who is currently registered with Avantax Investment Services, Inc. and located in Blue Bell, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Avantax Investment Services, Inc., Grace Kim was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Grace Kim Customer Complaint

Grace Kim has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the recommendation of a surrender and replacement of a life insurance policy did not align with the client’s objectives. The customer complaint was denied, and it appears the customer took no further action.

Grace Kim Red Flags & Your Rights As An Investor

Of course, Grace Kim did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Grace Kim at Avantax Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Grace Kim has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Avantax Investment Services, Inc. Due To Grace Kim

If you have questions about Avantax Investment Services, Inc. and/or Grace Kim and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...