The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.”
Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida)
was suspended from association with any FINRA member in any capacity for six months. Because of Dahn’s financial status, no monetary sanction was imposed. Without admitting or denying the findings, Dahn consented to the described sanction and to the entry of findings that he borrowed a total of $240,900 in business loans from customers, for operating expenses for a company Dahn and his brother ran, and failed to disclose the loans to his member firm.
FINRA's findings stated that in two cases, Dahn co-signed promissory notes executed on behalf of the customers. The firm’s written supervisory procedures prohibited borrowing money from customers. Dahn failed to repay the loans to the customers, which his firm ultimately reimbursed.
The suspension is in effect from December 17, 2012, through June 16, 2013.
(FINRA Case #2011028370001)
According to FINRA records, Donald Richard Dahn was last registered with LPL Financial.
This ends the information from FINRA’s website.
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you find yourself in this situation, or a similar situation with your broker or financial advisor, call for a free consultation with an attorney, 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
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