2019061213402 Luke Michael Johnson CRD 3257008 Complaint gg (2023-1691799596213).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Luke Michael Johnson
CRD No. 3257008,
Respondent
Disciplinary Proceeding
No. 2019061213402
COMPLAINT
The Department of Enforcement (“Enforcement”) alleges:
SUMMARY
1. From April 2015 through May 2018 (the “relevant period”), Respondent Luke
Johnson, while associated with FINRA member firm Coastal Equities, Inc.
2019064508802 Eugene H. Kim CRD No. 2264940 Complaint gg (2023-1691713206373).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Disciplinary Proceeding
No. 2019064508802
Department of Enforcement,
Complainant,
v.
Eugene H. Kim
CRD No. 2264940,
Respondent.
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Between December 2017 and June 2019 (the “relevant period”), while associated
with National Securities Corporation (NSC) (CRD No. 7569), Eugene Kim engaged in unethical
conduct, acted in bad faith, and misused customer funds in connection with a private offering
sold by NSC.