Jim Jinkook Seol

05/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JIM JINKOOK SEOL (CRD No. 2876279), Respondent. Disciplinary Proceeding No. 2014039839101 Hearing Officer-DW HEARING PANEL DECISION May 30, 2017 Respondent Jim Seol is barred from associating with any member firm in any capacity for participating in private securities transactions and engaging in outside business activities without prior written notice to his member firm employer.

05/31/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jim Jinkook Seol (CRD No. 2876279), Respondent. DISCIPLINARY PROCEEDING No. 2014039839101 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 21, 2011 through June 4, 2014 (the "Relevant Period"), Jim Jinkook Seol ("Seol"), a former registered representative associated with a FINRA-registered broker-dealer, Ameriprise Financial Services, Inc. ("Ameriprise" or

03/05/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jim Jinkook Seol Lake Forest, CA, Respondent. DECISION Complaint No. 2014039839101 Dated: March 5, 2019 Registered representative participated in undisclosed private securities transactions, engaged in undisclosed outside business activities, and provided

Reference 2014039839101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org