Kyung Soo Kim, who was previously let go from the firm for the same reason, was found to have been managing a cryptocurrency mining operation in violation of FINRA’s rules of disclosure. FINRA Rule 3270 stipulates that “no registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member.”.
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