Investors potentially incurred losses because of securities broker Paul Sangyop Lee [CRD: 5541067, Fullerton, California], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lee has been registered with Kingswood Capital Partners LLC and Kingswood Wealth Advisors LLC since October 22, 2021. Previously, Lee worked for Mirae Asset Wealth Management (USA) Inc. from September 8, 2015, to November 5, 2021. Read on to find out more about Paul Lee's disclosures.
Specifically, on April 28, 2026, a Kingswood Capital Partners LLC client filed FINRA Arbitration No. 26-00987 about Paul Lee. Mainly, the client alleged that Lee made unsuitable recommendations to the client. For this reason, the client allegedly experienced damages linked to an IHC Liquidity Fund investment. As a result, the client requested between $50,000 and $100,000 in compensation from Kingswood Capital Partners LLC or Lee. BrokerCheck shows that this arbitration is awaiting a resolution.
Also, a client of Kingswood Capital Partners LLC contested Paul Lee's sales practices by filing FINRA Arbitration No. 26-00887 on May 4, 2026. Allegedly, Lee made misrepresentations concerning investments in real estate investment trusts and an annuity. The client further alleged that Lee disregarded fiduciary duties owed to the client, failed to fully disclose investment risks, and recommended investments that were inconsistent with the client's financial profile, financial objectives, risk tolerance, liquidity needs, and retirement goals.
According to the client, commissions and fees associated with the investments were not fully disclosed, and anticipated income payments did not occur as represented. It appears that Lee allegedly caused the client to sustain damages. Consequently, the client seeks compensation from Kingswood Capital Partners LLC or Lee in the amount of at least $250,000.
Do you need guidance on any investment losses relating to Paul Lee? You should contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the country. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Lee and brokerage firms Lee worked for deny accusations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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