This summation of information is available on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.”
Steven Foreman Kahn (CRD #1001362, Buffalo Grove, Illinois)
was fined $10,000 and suspended by FINRA for 20 business days. Allegedly, Kahn effected transactions in a cclient’s account without first obtaining the client’s authorization.
FINRA's findings stated that the client had died two years before Kahn became the representative of record. Allegedly, then Kahn had placed trades without the client’s authorization, the estate representative, or any other person with authority on the account.
Also, according to FINRA, allegedly a client had complained to Steven Kahn that he was being charged excessive commissions for trades. Kahn allegedly agreed to refund a some of the commissions that he had charged over the past five years. Kahn took $7,005.68 from his own personal checking account and gave it to the client to settle the complaint. Steven Kahn did not inform his firm of his client’s complaint. Also, according to the FINRA report, Kahn did not obtain his firm’s approval to pay the client the settlement amount.
This suspension was in effect from April 7, 2014, through May 5, 2014.
(FINRA Case #2010024957001)
According to FINRA's BrokerCheck, Steven Foreman Kahn is currently registered with the following FINRA firm:
AMERICAN TRUST INVESTMENT SERVICES, INC. (CRD# 3001) Registered with this firm since 5/8/2014
230 W. MONROE SUITE 300, CHICAGO, IL 60606
Steven Foreman Kahn was previously registered with the following FINRA firm(s):
LASALLE ST SECURITIES, L.L.C. (CRD# 7191) - CHICAGO, IL
10/2010 - 03/2014
ROTHSCHILD INVESTMENT CORPORATION (CRD# 728) - CHICAGO, IL
05/1983 - 10/2010
ROTHSCHILD INVESTMENT CORPORATION (CRD# 728) 01/1982 - 06/1999
This ends the FINRA findings.
If you suffered financial losses due to your broker/financial advisor's recommendations, call Soreide Law Group for a free consultation at 888-760-6552. We represent our clients nationwide before FINRA.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com