Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jennifer Kim (Kim), currently employed by Signature Estate Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Kim’s most recent customer complaint alleges that Kim recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint on February 27, 2025.
Client(s) claim the investment (Structured Notes) was not adequately explained to them. Signed documentation and client notes indicate adequate disclosure and discussion were made.
