ANNIE ORION KIM

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Annie O. Kim CRD No. 4821323, Respondent. DISCIPLINARY PROCEEDING No. 2010022697101 AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In January 2010, Annie Kim exercised discretion in a customer's account without written acceptance of the account as discretionary by her employing FINRA member firm. Additionally, Kim failed to appear for an on-the-record interview. RESPONDENT AND
Reference 2010022697101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANNIE ORION KIM (CRD No. 4821323), Respondent. Disciplinary Proceeding No. 2010022697101 Hearing Officer-Andrew H. Perkins DEFAULT DECISION March 21, 2013 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to appear and testify at an on-the-record interview, in violation of Procedural Rule 8210 and Conduct Rule 2010. In addition, Respondent exercised
Reference 2010022697101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4821323

Other names1

Also known as1

ANNIE O. KIM

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