Christopher Kim is an associate in Moses Singer’s Securities Litigation, Arbitration, and Enforcement Group. He represents individuals in civil enforcement investigations, securities litigation, and FINRA arbitrations. Before joining Moses Singer, Chris worked at a large international financial institution as a Series 9/10 supervisory officer, advising the firm and private wealth managers serving ultra-high-net-worth clients on subjects including Know Your Customer requirements, Regulation Best Interest, books and records, AML risk mitigation, Regulation U, Rule 144, and customer complaints.

Chris began his legal career serving as a law clerk to the Honorable Daniel J. Yablonsky, J.S.C. in Passaic County in Paterson, New Jersey handling the Court’s “Children In Court” docket dealing with matters concerning allegations of child abuse and neglect. He has also amassed invaluable experience working as an Assistant Attorney General at the New York State Attorney General’s Office and as an Assistant District Attorney in the Office of the Bronx District Attorney.

Representative matters include:

• Defense of a wealth manager in an SEC enforcement investigation and FINRA arbitrations against claims of unsuitability and churning.
• Defense of a wealth manager in a FINRA investigation concerning insider trading.
• Representation of claimant in a FINRA arbitration concerning a bank’s unlawful liquidation of accounts.