The securities attorneys at the Investor Defenders practice group of Samuels Yoelin Kantor LLP are investigating potential claims against this broker.
Public records from the Financial Industry Regulatory Authority (FINRA) show that Jamewon Jeewon Shin (CRD# 2436899) was suspended as of August 13, 2018, from associating with any FINRA member for failure to provide information or keep information current pursuant to FINRA Rule 9552(d).
Jameson Jeewon Shin was most recently registered with LPL Financial LLC in Bellevue, Washington, and was previously registered with Wells Fargo Advisors, LLC in Seattle, Washington.
FINRA records show that the names James J Shin, James Shin, Jameson Jee Won Shin are related to Jameson Jeeswon Shin.
Brokers are licensed and regulated by FINRA and state regulatory agencies. State securities laws and state common law offer protections for investors from unlawful broker conduct such as: negligent portfolio mismanagement, selling away, overconcentration, unsuitable investment recommendations, excessive trading (“churning”), failure to supervise, misrepresentations about investments, or outright conversion and theft.
Common Red Flags of broker misconduct include lack of communication from your broker, discovering that you cannot liquidate investments that you thought you could sell, or discovering that large portions of your portfolio are used to purchase “alternative investments” like interests in Limited Partnerships, Limited Liability Companies, or promissory note investments. The Investor Defenders have compiled a list of Ten Red Flags for Investors, which you can see by clicking on this link.
If you were a client of this broker, and suspect that financial losses in your brokerage account may have been caused by broker misconduct, call the Investor Defenders. We represent investors in the United States with securities claims against brokers and brokerage firms for financial losses caused by unlawful conduct.
Darlene Pasieczny’s practice at Samuels Yoelin Kantor LLP focuses on all stages of corporate and securities law issues, securities litigation and FINRA arbitration, fiduciary litigation in trust and estate disputes, elder financial abuse, and complex civil litigation. Darlene’s practice includes representing investors nationwide in investment disputes through FINRA arbitration.