Regulators suspended securities broker Kyle Joon Kim (also known as Kyo Kim) [CRD: 2446395, Summit, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kyle Kim worked for The Leaders Group Inc. from May 28, 2024 to May 16, 2025, and for LPL Financial LLC from February 14, 2018 to June 4, 2024. Read the following sections to know more about the regulatory disclosures involving this individual.
Particularly, on April 22, 2025, Maryland issued Case: 2025-0249 sanctioning Kyle Kim. Specifically, Kim was suspended for three months and fined $5,000. Notably, Maryland alleged that Kim engaged in unapproved outside business activities according to FINRA findings.
Also, Kim entered into an Acceptance, Waiver and Consent (“AWC”) with FINRA in which he agreed to a suspension from May 19, 2025, through August 18, 2025, and a $5,000 fine.
FINRA found that from June 2019 to June 2024, while registered with LPL Financial LLC, Kim participated in a real estate development partnership involving six properties. He created a limited liability company to manage the venture and helped with logistics and planning. In 2023, Kim arranged $90,000 in funding from his clients to support the project.
Kim failed to notify LPL of his involvement, violating FINRA Rules 3270 and 2010. These rules require prior written notice for any business activity outside the brokerage relationship. LPL cited this issue in Kim’s termination filing.
Do you have questions or concerns about investments involving Kyle Kim? You can reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney. Soreide Law Group has recouped losses for investors throughout the United States. Also, the firm takes investor cases on a contingency fee basis and advances all costs. Kim and brokerage firms Kim worked for deny accusations of sales practice violations.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com