Securities Law & Arbitration
Kim & Bae's securities law and arbitration practice can provide legal representation for individuals and entities involved in securities disputes. This includes representation in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), as well as litigation in state and federal courts.
We can help clients navigate the often-challenging process of resolving securities disputes through arbitration or litigation, and work tirelessly to protect their clients' interests throughout the process.
our case study
- 73 MILLION DOLLAR LAWSUIT AGAINST CITI
Partners at Kim & Bae represented our Client in a case against Company “C” regarding losses due to KIKO. KIKO is an derivatives instrument used for currency hedging. Many mid to large sized Korean companies suffered big losses due to the sudden increase in currency rate following the Subprime Mortgage Crisis of 2008. Kim & Bae on behalf of Simmetch filed a claim for damages of $73 million against Citi, who was a seller of these contracts. (Simmtech v. Citi)
Kim & Bae, P.C. advises clients on Securities Law & Arbitration across New York and New Jersey, from offices in Fort Lee, New Jersey and at 45 Rockefeller Plaza in Manhattan. Our attorneys work with clients in both English and Korean.
Common Questions
- Does Kim & Bae handle FINRA arbitration?
- Yes. Our securities practice represents individuals and entities in securities disputes, including arbitration before the Financial Industry Regulatory Authority (FINRA) and litigation in state and federal courts.
- What securities matters has the firm worked on?
- One example: on behalf of Simmtech, Kim & Bae filed a $73 million damages claim against Citi, a seller of KIKO currency-hedging contracts, over losses that followed the sudden currency rate rise after the 2008 subprime mortgage crisis.
- Can Kim & Bae help an investor who lost money through a broker?
- Yes. Brokerage firms sometimes make risky trades that the client did not agree to, and the client loses the money they invested. Kim & Bae represents investors who want to recover those losses, in arbitration or in court.
- Does the firm also represent brokerage firms and brokers?
- Yes. Our securities practice also provides legal services to securities firms and financial brokers, who can face claims like any other business.
- Does anyone at the firm have experience as an arbitrator?
- Yes. Christine Bae has served as an arbitrator at the request of a United States financial regulatory body since 2000 and has chaired an arbitration panel.
- Where can I read more about the Simmtech case?
- The news section of this site carries press coverage of the Simmtech matter, including reports from The Wall Street Journal and Maeil Business Newspaper in 2013 and from The Korea Daily in 2016.
- Can I discuss a securities dispute in Korean?
- Yes. Our attorneys work with clients in both English and Korean, from offices in Fort Lee, New Jersey and at 45 Rockefeller Plaza in Manhattan. Call 201-585-2288 or use the contact page.