Goodman & Nekvasil P.A., May Recover Investor Losses – Kim Dung Le (Kim Le) Fired by State Farm VP Management Corp. and Barred from Securities Industry
From 2013 until Kim Le’s firing in 2016, Kim Le was licensed with State Farm VP Management Corp. Kim Le was previously licensed with Pruco Securities, LLC. According to FINRA’s records, Kim Le was fired by State Farm VP Management Corp. on June 27, 2016. State Farm VP Management Corp. reported to FINRA that Kim Le was accused of failing to follow firm procedures regarding disclosure of an outside business activity.
Subsequent to Kim Le’s firing by State Farm VP Management Corp., FINRA investigated Kim Le and brought a disciplinary action against Kim Le. Kim Le was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on December 19, 2017. FINRA reports that Kim Le consented to the sanction and to the entry of findings that Kim Le will not appear for FINRA on-the-record testimony in connection with FINRA’s review of allegations reported on a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Kim Le’s member firm, that she failed to disclose an outside business activity.
If you lost any money on investments with Kim Le, you may be able to recover your losses from State Farm VP Management Corp and/or Pruco Securities, LLC. This is because State Farm VP Management Corp and Pruco Securities, LLC had a duty to supervise Kim Le.
If you lost money on investments with Kim Le and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against State Farm VP Management Corp and/or Pruco Securities, LLC concerning Kim Le’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Kim Le and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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