Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
Annie Orion Kim (CRD #4821323, Registered Representative, Chicago, Illinois)
was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kim failed to appear for a FINRA on-the-record interview regarding her trading in a customer’s securities account. The findings stated that Kim exercised discretion in the customer’s securities account without her member firm’s written acceptance of the account as discretionary.
(FINRA Case #2010022697101)
According to FINRA's BrokerCheck, Annie Kim was previously registered with FINRA at the following brokerage firms:
WELLS FARGO ADVISORS, LLC
CRD# 19616
CHICAGO, IL
01/2008 - 04/2010
VALIC FINANCIAL ADVISORS, INC.
CRD# 42803
CHICAGO, IL
07/2006 - 10/2007
AMERIPRISE FINANCIAL SERVICES, INC.
CRD# 6363
CHICAGO, IL
10/2004 - 07/2006
This ends the information obtained on FINRA’s website.
The Soreide Law Group represents clients nationwide before FINRA. If you have sustained investment losses due to your stock broker/financial advisor’s recommendations, call for a free consultation with an attorney on how to potentially recover those losses: 888-760-6552.
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