ALEXEI KANG LEE is currently employed as a Broker and/or Investment Adviser at VISION FINANCIAL MARKETS LLC located at 120 Long Ridge Road 3 North, Stamford, CT, 06902.
ALEXEI KANG LEE has worked at VISION FINANCIAL MARKETS LLC since October 15, 2012
Disclosure History
ALEXEI KANG LEE has 2 Disclosure Event(s).
Date: May 01, 1997 Category: Customer Dispute Allegations: OTHER, MISREPRESENTATION, OMISSION OF FACTS, BRACH OF FIDUCIARY DUTY. Damage Amount Requested: $639,855.76 Damages Granted: $639,855.76
Date: February 21, 1996 Category: Customer Dispute Allegations: RESPONDENT SUPERIOR; FRAUD, NO DAMAGESSPECIFIED. Damage Amount Requested: $200,000.00 Settlement Amount: $80,000.00 Broker Comment: SETTLED IN THE AMOUNT OF $80,000.00MR. LEE DENIES THE ALLEGATIONS. MR. LEE HAS NODIRECT INVOLVEMENT IN THE HANDLING OF NOR SUPERVISION OF PUBLICCUSTOMER ACCOUNTS AND ASSERTS THAT HE WAS NAMED IN THISPROCEEDING BASED SOLELY UPON HIS NAME BEING REFLECTED IN MONROEPARKER`S ``FORM BD`` AS ITS CHIEF FINANCIAL OFFICER. MR. LEEDID NOT CONTRIBUTE TO THE SETTLEMENT.
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