In 1999, Darinn Dwight Kim entered the securities industry. He was registered with LPL Financial from February 2004 until October 29, 2012. Darinn Dwight Kim is no longer registered with any FINRA members.
On February 2, 2014, the Financial Industry Regulatory Authority entered a default decision against Mr. Kim steaming from a complaint that he not only stole customer funds, but also forged certain documents while he was employed at LPL Financial. According to the February 2, 2014 decision (Disciplinary Proceeding No. 2012033956001), Mr. Kim forged a $90,000 check from a customer and deposited it into his personal bank account. This event occurred on or about June 26, 2012 while Darinn Dwight Kim was employed by LPL Financial. In the same customer’s account, Mr. Kim also attempted to steal an additional $190,000, but the customer was able to stop payment on the subsequent fraudulent payment.
As a result of the foregoing activity, FINRA barred Darinn Dwight Kim from ever associating with another FINRA member. For more information on Mr. Kim’s suspension and fine, please visit FINRA’s website.