Kim D Le was an Illinois based securities broker. She worked in the securities industry for seventeen years. During her career, she was registered with eight different securities firms.
Her registrations include; WMA Securities (1997-1999), United Securities Alliance (1999-2000), IAC Securities (2000-2001), Acument Securities (2001-2002), 1st Discount Brokerage (2002-2006, 2007-2008), Allstate Financial Services (2006-2007), Pruco Securities (2010-2013), and State Farm VP Management (2013-2016). She is not currently working as a registered securities broker in any fashion.
Kim D Le’s publicly available FINRA BrokerCheck report shows that allegedly took part in outside business activities that she failed to disclose to her member firm. Due to these allegations, she was discharged from her position at State Farm VP Management.
During a FINRA investigation into the above mentioned allegations, Kim D Le allegedly failed to appear for the on-the-record testimony FINRA had requested of her. Due to these allegations, she was barred by FINRA from acting as a securities broker in any fashion.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Kim D Le, please contact Oakes & Fosher for a free and private consultation.