The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.”
Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida)
was barred from association with any FINRA member in any capacity. FINRA found that Dahn borrowed $27,100 from customers without repaying the loans. The money was represented for use as operating expenses for a company Donald Dahn operated with his brother.
Dahn failed to disclose these loans to his firms. The firms prohibited brokers borrowing money from customers.
Dahn failed to repay the loans. Donald R. Dahn misappropriated the funds by failing to repay the loans, and by borrowing customer funds without any ability to repay the loans.
(FINRA Case #2013036768101)
According to FINRA's BrokerCheck, Donald Richard Dahn was previously registered with the following FINRA firm(s):
LPL FINANCIAL LLC (CRD# 6413) - TAMPA, FL
10/2009 - 06/2011
MUTUAL SERVICE CORPORATION (CRD# 4806) - STUART, FL
01/1998 - 10/2009
TRANSAMERICA FINANCIAL RESOURCES, INC. (CRD# 3600) - LOS ANGELES, CA
04/1997 - 02/1998
MAKEFIELD SECURITIES CORPORATION (CRD# 15271) - STUART, FL
10/1993 - 12/1996
MANEQUITY, INC. (CRD# 5249) - BOSTON, MA
01/1993 - 12/1995
PRUCO SECURITIES CORPORATION (CRD# 5685) - NEWARK, NJ
09/1991 - 01/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD# 680) - NEWARK, NJ
09/1991 - 01/1993
This ends the summation of information from FINRA’s website.
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