DARINN DWIGHT KIM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, Disciplinary Proceeding No. 2012033956001 v. Hearing Officer - AHP DARINN DWIGHT KIM (CRD No. 4029402), DEFAULT DECISION Respondent. February 4, 2014 For conversion of funds from a customer of his member firm, misuse of customer funds, and forgery, in violation of FINRA Rule 2010, Respondent is barred from associating with any FINRA member firm in any capacity. Respondent is also barred
10/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Darinn Dwight Kim (CRD No. 4029402), Respondent. DISCIPLINARY PROCEEDING No. 2012033956001 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. In June 2012, while registered with FINRA member firm LPL Financial LLC ("LPL" or the "Firm"), Respondent, Darinn Dwight Kim ("Kim"), converted approximately $90,000 from Firm customer, HJC
Reference 2012033956001data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4029402

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