Kimberly G. Sorrow

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2025: From March 2023 through May 2023, Sorrow converted $838 in funds derived from four fraudulent checks that she deposited into her bank accounts at her firm’s affiliated bank. As a result, Sorrow violated FINRA Rule 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2023079607901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	6971698

Other names1

Also known as1

Kimberly Geneva Sorrow

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