Subject: Joon Kim

Subject of Interest

Joon Hyun Kim is an American attorney who served as the acting United States Attorney for the Southern District of New York from March 2017 to January 2018. He was Deputy U.S. Attorney for the Southern District of New York from July 2015 to March 2017 after serving as the chief of the criminal division since July 2014. From April 2013 to July 2014, Kim was the chief counsel to the U.S. Attorney. Kim attended Phillips Exeter Academy, where he graduated in 1989, and graduated Phi Beta Kappa from Stanford University in 1993 and graduated cum laude from Harvard Law School, in 1996. After law school, he clerked for Miriam Goldman Cedarbaum of the Southern District of New York. From 2006 to 2013, Kim worked at Cleary Gottlieb Steen & Hamilton LLP.

Biography 

Subject: Phillip Kim

Subject of Interest

Phillip Kim is a partner in The Rosen Law Firm. He  graduated from Villanova University School of Law, J.D., 2002 & The Johns Hopkins University, B.A. in Economics, 1999.  His practice areas are General Securities and Commercial Litigation.  His bar and court admissions are: New York, United States District Court Southern District of New York, United States District Court Eastern District of New York, United States District Court, Northern District of New York, United States District Court Western District of New York, United States District Court District of Colorado, and United States Court of Appeals for the Second Circuit.

Biography

The Rosen Law Firm 

Web: SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme

Web

SEC Charges optionsXpress and Five Individuals
Involved in Abusive Naked Short Selling Scheme

SEC, 16 April 2012

The SEC’s Division of Enforcement alleges that Chicago-based optionsXpress failed to satisfy its close-out obligations under Regulation SHO by repeatedly engaging in a series of sham “reset” transactions designed to give the illusion that the firm had purchased securities of like kind and quantity. The firm and customer Jonathan I. Feldman engaged in these sham reset transactions in a number of securities, resulting in continuous failures to deliver. Regulation SHO requires the delivery of equity securities to a registered clearing agency when delivery is due, generally three days after the trade date (T+3). If no delivery is made by that time, the firm must purchase or borrow the securities to close out the failure-to-deliver position by no later than the beginning of regular trading hours on the next day (T+4).

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