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Heedo "Joshua" Han Barred for Failure to Cooperate with Investigation into Forgery Case

FINRA barred former NYLife Securities rep Heedo "Joshua" Han out of the firm's Los Angeles branch as the result of an investigation into Han's insurance business and a complaint alleging that Han had signed a customer's name on insurance documents and failed to disclose material information related to the relevant products.

FINRA AWC #2014041726701

The report states that Han failed to cooperate with investigators after they attempted to determine whether Han had engaged in forgery and falsification of documents in an investigation resulting from a customer's filed complaint.

A pending dispute received in February 2015 and available within Han's BrokerCheck report accuses Han of signing the complainant's name on fixed and variable life insurance policy documents and, furthermore, that the customer was not aware of increased costs associated with the products. Alleged damages in this case total $189,550.93.

NYLife records indicate that the firm permitted Han to resign in 2014 after finding that several universal life insurance applications submitted by Han contained "inaccurate information," which the firm then relied upon when processing the inaccurate paperwork.

The AWC states that Han failed to provide requested information concerning the case on at least four separate occasions, leading to FINRA's decision to bar Han from the securities industry.

If you have invested with Heedo "Joshua" Han or with any broker, financial adviser or firm who has submitted falsified, fraudulent or forged documents on your behalf, or whose misrepresentations or omissions of material facts, such as information related to investment costs and fees, have proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.

The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.