ISAAC MYONG KIM is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 767 NORTH HILL ST, SUITE 1000, LOS ANGELES, CA, 90012.
ISAAC MYONG KIM has worked at CETERA INVESTMENT SERVICES LLC since June 02, 2015
Disclosure History
ISAAC MYONG KIM has 1 Disclosure Event(s).
Date: February 28, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE WAS NEVER INFOMED THAT IF SHE MOVED MONEY INTO THE GUARANTEED INCOME OPTION THAT IT COULD IMPACT THE GUARANTEED INCOME BENEFIT AND DEATH BENEFIT. DAMAGES UNSPECIFIED. Settlement Amount: $6,470.16 Broker Comment: FILE CLOSED - NO RESPONSE FROM CLIENT. BASED ON APPEAL RECEIVED ON 11/7/2014, THE FIRM FOUND NO BASIS TO THE CUSTOMER COMPLAINT. BASED ON APPEAL RECEIVED ON MAY 4, 2015, THE FIRM AGREED TO ADJUST THE GMIB/GMDB ON THE 2005 VARIABLE ANNUITY CONTRACT. THE FIRM ALSO AGREED TO MAKE A ONE-TIME CASH SETTLEMENT OF $5,000 TO THE CLIENT. LOSS TO FIRM: $6,470.16. RR KIM'S ERRORS AND OMISSION CARRIER DID NOT CONTRIBUTE TO THE SETTLEMENT.
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