Jae Kim Barred by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses
Former E1 ASSET MANAGEMENT, INC. broker, Jae Kim barred by FINRA after employer allegations.
JAE HUN KIM (CRD#: 4620963), a former broker for E1 ASSET MANAGEMENT, INC. in Cortlandt Manor, NY, is permanently barred from selling securities. According to Kim’s FINRA BrokerCheck report, Without admitting or denying the findings, Kim consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation concerning the circumstances giving rise to a customer arbitration.
Kim has two pending customer arbitration claims; one of the claimants is demanding $4,000,000.00 for alleged damages.

JAE HUN KIM barred by FINRA after employer allegations.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 6/04/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.