Investors potentially experienced sales practice violations because of securities broker Jennifer Kim [CRD: 2322771, Los Angeles, California], based on disclosures through FINRA’s BrokerCheck. Evidently, Jennifer Kim worked for Signator Investors Inc. from March 4, 1993, to November 2, 2018; for Osaic Wealth Inc. from November 2, 2018, to August 24, 2023; and has been registered with Signature Estate Securities LLC since August 20, 2023. She is also affiliated with SEIA since March 9, 2001. Keep reading to find out more about Jennifer Kim’s disclosures and the client disputes reported against her.
Specifically, a client filed a complaint about Jennifer Kim. The client alleged that Kim failed to fully explain the investment in structured notes. Because of this, the client allegedly sustained damages on structured notes. Therefore, on April 1, 2025, Signature Estate Investment Advisors LLC settled this matter by paying the client $245,486.34 in damages.
Specifically, a client of Royal Alliance Associates Inc. contested Jennifer Kim’s sales practices, according to a complaint. Allegedly, Kim failed to follow instructions. It appears that Kim caused the client to sustain damages relating to investment advisory accounts. Therefore, Royal Alliance Associates Inc. opted to settle the matter on June 29, 2020, by compensating the client in the amount of $17,164.73.
When a securities broker or financial advisor is accused of omissions regarding structured notes, it means they may have left out important information about the risks, features, or limitations of these complex investments. This lack of disclosure can mislead investors and result in significant financial losses.
Did you experience losses because of Jennifer Kim? Feel free to reach out to Soreide Law Group online or at (888) 760-6552. Speak with a securities attorney about a potential recovery of investment-related losses. Soreide Law Group has recovered losses for investors throughout the US, takes cases on a contingency fee basis, and advances all costs. Kim and brokerage firms Kim worked for deny any allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com