Tagged with "wrci"

FINRA Denies Appeal From Former Ameriprise Financial Broker Barred for Concealing $100 Million Worth of Private Securities Transactions and Outside Business Activities

Posted on March 8th, 2019 at 5:01 PM
FINRA Denies Appeal From Former Ameriprise Financial Broker Barred for Concealing $100 Million Worth of Private Securities Transactions and Outside Business Activities

In May of 2017, FINRA barred former Ameriprise Financial broker, Jim Jinkook Seol of Lake Forest, California for participating in $100 million worth of private securities transactions by selling away and deliberately concealing the misconduct from Ameriprise Financial.

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