Last Updated: January 2025 (Santa Monica, CA)
Mimi Yoo Park Investigation Summary
Here’s what you need to know about Santa Monica, CA Stockbroker Mimi Y. Park:
- Name: Mimi Yoo Park
- Current Employer: U.S. Bancorp Investments, Inc.
- Prior Employers:
- LPL Financial LLC (2017–2022)
- Wells Fargo Clearing Services, LLC (2013–2017)
- Summit Brokerage Services, Inc. (2011–2013)
- ING Financial Partners, Inc. (2008–2011)
- AXA Advisors, LLC (2003–2008)
- Function: Stockbroker / Financial Advisor
- Aliases: Mimi Park
- Primary Location: Santa Monica, CA
- CRD Number: 4684111
- Can Mimi Park Be Sued in FINRA Arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute: Yes,, seeks damages of $600,000
If you’ve sustained damages from Ms. Park, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Mimi Park as Your Stockbroker?
Mimi Park has been involved in customer disputes, including allegations of misappropriation of funds and failure to execute orders:
- Customer Dispute – Denied
-
- Allegations: A customer claimed $9,100 was lost due to the failure of the broker to execute an order.
- Status: Complaint was denied by the firm on December 14, 2023, and apparently the customer has not pursued the matter further.
- Customer Dispute – Pending
-
- Date of Filing: November 22, 2024
- Allegations: Misappropriation of $600,000 in funds and refusal to execute a requested wire transfer.
Investigations involving Theft and Misappropriation of Customer Funds
Allegations of Broker Misconduct Against Mimi Park
Customers have alleged the following misconduct against Mimi Park:
- Failure to Execute Transactions: Alleged negligence in processing client transactions, resulting in financial losses.
- Misappropriation of Funds: Claims of unauthorized use or withholding of customer funds, potentially violating FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).
These allegations indicate potential violations of ethical and procedural requirements mandated by FINRA.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Mimi Y. Park, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.