Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that former New York-based Pruco Securities broker Kwimin Ahn, who has received a customer dispute was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ahn (CRD# 4361230).
Kwimin Ahn, also known as Ken Ahn, has spent 16 years in the securities industry and was most recently registered with Pruco Securities in New York, New York (2001-2017). He has no previous registrations. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 23, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 30, 2001; Series 7 (General Securities Representative Examination), which he obtained on April 2, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 23, 2001; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on September 30, 2003. He is currently not registered with any state or firm.
According to his BrokerCheck report, Kwimin Ahn has received one customer complaint and was discharged from his former employer in connection to alleged rule violations.
In May 2017 he was terminated from his position at Pruco Securities in connection to allegations he “reused and resubmitted” customer signatures on a variable annuity application as well as “several transfers of asset forms.”
In 2016 a customer alleged Kwimin Ahn, while employed at Pruco Securities, submitted reused signatures on an application for a variable annuity. The complaint settled in May 2017 for more than $42,600.
If you or someone you know has lost money investing with Kwimin Ahn, also known as Ken Ahn, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.