2023079878401 Kris Min Lee-Kim CRD 6899858 AWC lp (2024-1717892414997).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079878401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kris Min Lee-Kim (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6899858 Pursuant to FINRA Rule 9216, Respondent Kris Min Lee-Kim submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA Promotes Michael Solomon to Executive Vice President of Examinations and Membership Application Program

FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
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