HYUNG EUN LEE CRD# 289899
Criminal 12/06/2006
MIS. PL 165.15 AM MIS PL 140.10 BM THEFT OF SERVICES CRIMINAL TRESPASS -4TH
MISDEMEANOR
ACD 55-ACD CPL 170.55
Broker-Dealer Profiles
LESTER JOHN KOTAS CRD# 2471082
Customer Dispute
POOR PERFORMANCE
$25,000.00
$14,999.00
JAMES ROBERT MITCHELL JR CRD# 1374268
Customer Dispute
THE [CUSTOMERS]', BY COUNSEL, ALLEGED UNSUITABILITY; SECTION 10(B) AND RULE 10B-5; CHURNING; COMMON LAW FRAUD; NEGLIGENCE AND RECKLESSNESS; BREACH OF FIDUCIARY DUTY; BREACH OF CONTRACT; UNAUTHORIZED TRADING; RESPONDEAT SUPERIOR; CONTROL PERSON LIABILITY;FAILURE TO SUPERVISE; S.C. SECURITIES ACT IN THEIR STATEMENT OF CLAIM.
$500,000.00
$200,000.00