{"id":2945,"date":"2015-09-03T00:00:00","date_gmt":"2015-09-03T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/morgan-stanley-broker-peter-h-kim-barred-for-allegedly-taking-client-funds-for-personal-use\/"},"modified":"2015-09-03T00:00:00","modified_gmt":"2015-09-03T04:00:00","slug":"morgan-stanley-broker-peter-h-kim-barred-for-allegedly-taking-client-funds-for-personal-use","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/morgan-stanley-broker-peter-h-kim-barred-for-allegedly-taking-client-funds-for-personal-use\/","title":{"rendered":"Morgan Stanley broker Peter H. Kim Barred for Allegedly Taking Client Funds for Personal Use"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Morgan-Stanley-broker-Peter-H.-Kim-Barred-for-Allegedly-Taking-Client-Funds-for-Personal-Use.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1833\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Morgan-Stanley-broker-Peter-H.-Kim-Barred-for-Allegedly-Taking-Client-Funds-for-Personal-Use-1024x683.jpg\" alt=\"Morgan Stanley broker Peter H. Kim Barred for Allegedly Taking Client Funds for Personal Use on silverlaw.com\" width=\"1024\" height=\"683\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Morgan-Stanley-broker-Peter-H.-Kim-Barred-for-Allegedly-Taking-Client-Funds-for-Personal-Use-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Morgan-Stanley-broker-Peter-H.-Kim-Barred-for-Allegedly-Taking-Client-Funds-for-Personal-Use-300x200.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>Kim is permanently barred by FINRA<\/h2>\n<\/p>\n<p>FINRA Rule 2010 provides that \u201c[a] member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade,\u201d and broker Peter Kim was found in violation of it, according to a recent <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/38475\"  target=\"_blank\">FINRA disciplinary action<\/a>.<\/p>\n<p>In fact, according to the report, Kim\u2019s acts, practices and conduct constituted such violation of the rule that FINRA permanently barred Kim from acting as a broker or otherwise associating with firms that sell securities to the public.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/morgan-stanley-broker-peter-h-kim-barred-for-allegedly-taking-client-funds-for-personal-use\/\"  title=\"Continue Reading Morgan Stanley broker Peter H. Kim Barred for Allegedly Taking Client Funds for Personal Use\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Kim is permanently barred by FINRA FINRA Rule 2010 provides that \u201c[a] member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade,\u201d and broker Peter Kim was found in violation of it, according to a recent FINRA disciplinary action. In fact, according to the [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,602],"tags":[400],"class_list":["post-2945","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-class-action","tag-finra-disciplinary-action"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Morgan Stanley broker Peter H. Kim Barred for Allegedly Taking Client Funds for Personal Use &#8212; Securities Arbitration Lawyers Blog &#8212; September 3, 2015<\/title>\n<meta name=\"description\" content=\"Check out the full blog on Morgan Stanley broker Peter H. 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