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Jae Kim E1 Asset Management, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Jae Kim of E1 Asset Management, Inc.?

Jae Kim

Jae Kim (CRD #4620963) who is currently registered as a broker with E1 Asset Management, Inc. and located in Cortlandt Manor, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to E1 Asset Management, Inc., Jae Kim was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Jae Kim Customer Complaints

Jae Kim has been the subject of 9 customer complaints that we know about to recover investment losses.  Six of the customer complaints are settled by Jae Kim’s current and former employers in favor of the investors.  One customer complaint was denied, and the customer took no further action. There are currently 2 FINRA arbitration proceedings pending against E1 Asset Management for the advisor’s alleged misconduct.

Allegations Against Jae Kim

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Failure to follow client’s instructions regarding percentage to be invested in stocks.
  • Unauthorized margin trading.
  • Unauthorized and unsuitable recommendations.
  • Breach of contract, unsuitability, misrepresentation, negligence, and negligent supervision.
  • Misrepresentation and unsuitable investment recommendations.

Jae Kim Red Flags & Your Rights As An Investor

Of course, Jae 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 Jae Kim at E1 Asset Management, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jae Kim has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at E1 Asset Management, 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At E1 Asset Management, Inc. Due To Jae Kim

If you have questions about E1 Asset Management, Inc. and/or Jae 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.

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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 $170 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.

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