Individuals Barred by FINRA - K

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As of September 30, 2017

Individuals on this list have a FINRA bar in effect. They are prohibited from engaging in securities or investment banking activity. For more information about a listed individual, click the individual's CRD number. You can also learn more about FINRA bars, including when they are posted to this list and when a sanction is subject to review and modification by the SEC or the courts.

CRDIndividual Name
2727926DAVID THEODORE KAAGAN
2951779ROBERT JOHN KACZOROWSKI
4929590SABRINA MARIE KADETS
2717532ABDULLA AKHTERHUSAIN KAGALWALLA
263122JEFFREY ARTHUR KAHN
2163244JOHN KALEIHIEHIE KAI
5482873MARIA GEORGE KAKISSIS
4888800CHRISTOS ANGELO KALATOUDIS
1530241DENVER ARLENE KALKOFEN
2031370DAVID BRYAN KALT
1920540RONALD JOHN KAMBIC
1525721MIRO KAMENIK
5141098CRAIG M KAMIJIMA
4396494BETH ANN KAMMERDIENER
2719614DANIEL JOSEPH KANABROSKI
3055831KOJO NANTAMBU KANDI
2167829MICHAEL NORMAN KANE, II
2855301MATTHEW JUN KANG
4869834JASON ALAN KANSIER
1542030JEROME JACOB KANTER
5700105HONETTA C KAO
2589146RAM KAPARA
4259968ASHIK AKBERALI KAPASI
2714169MATTHEW SAMUEL KAPLAN
2908394SCOTT KEITH KAPLAN
6126137SEAN DAVID KAPLAN
2832379DEAN KAPLANIDIS
5578390BRANDON MICHAEL KAPPES
2159293ROGER ANGELO KAPSALIS
1844025KARL EDWARD KAPUSTKA
4001615PERRY PETER KARAHALIOS
4682429JACOB KARAMIAN
2634993ARMEN KARAPETYAN
1227463DENNIS KEITH KARASIK
264316JOSEPH LEE KARCAGI
3184384GEORGE ALEXANDER KARDARAS
2893973ANDREW VINCENT KARDISH, II
1568680THOMAS GEORGE KARIDAS
5869994DANIEL GEORGE KASBAR
4954668DAVID L KASHNER
3105331STUART WILLIAMS KASIN
4816180FARAN S KASSAM
5634449VICKEN KASSOUNY
5836566JOHN MICHAEL KASTELIC, JR
4890437JAMES M KATAYANAGI
2050766LOUIS KONSTANTINOS KATOGYRITIS
4332609ELIAS NICHOLAS KATSIS
2497641JOHN JOSEPH KATSOCK, JR
4426776MICHAEL JORDAN KATZ
5216261ROBIN EMILY KATZ
2365373DAVID CHARLES KAUFFMAN
2848389JOYCE ANN KAUFFMANN
2774898BARRY ALAN KAUFMAN
852490CAROLYN CHAMBERS KAUFMAN
1309961JOHN FRANCIS KAVALEC
2794227EMMANUEL GEORGE KAVEKOS
5070318GEORGE KAVOURIS
2309807JOHN DAVID KAWESKE
1374570HERBERT IVAN KAY
5096906MICHAEL PATRICK KAY
1133657ROBERT BRIAN KAY
2459633EVAN LEWIS KAYE
708547MICHAEL JAMES KAZACOS
2371296AARON NASH KAZINEC
1665504NORMAN LEE KEARNEY, JR
1242675KORY PENLAND KEATH
2918547DENNIS LEE KEATING, II
5494745JOSEPH MICHAEL KEEGAN
1637776JAMES COY KEENE
2259850PATRICK EUGENE KEENEY
1911150KYLE JAY KEESLING
2103759STEVEN CRAIG KEIFNER
4349045ALI KEITA
3244480MICHAEL WILLIAM KELEHER
4680152CALVIN L KELLE
2846901CHAD MICHAEL KELLER
873009JOHN WALTER KELLER
2973355SHAWN STEVEN KELLER
1179082DEBORAH DICKSON KELLEY
1183995KEVIN OWEN KELLEY
1816472MATTHEW DEATER KELLEY
1485072MICHAEL ALLEN KELLEY
5798473SHANE T. KELLEY
1773462WILLIAM GEORGE KELLY, JR
2712230CHAD DAVID KELLY
1994768JACK RICHARD KELLY
2547707JEFFREY GARLAND KELLY
4447819MICHEAL EUGENE KELLY
4089029PETER DAMIEN KELLY
2306574SCOTT EDWARD KELLY
3241767STEVE G KELLY
1386403THOMAS EDWARD KELLY
1105037TIMOTHY MICHAEL KELLY
2456876WILLIAM FRANCIS KELLY
4554701JOHN ALVIN KELSEY
4199658JACQUELINE ANN KEMP
4802277DAVID KEMPERT
707275ALLYNE RIESE KENDALL, III
2195972WILLIAM A KENDALL
1290761ROBERT JAY KENDZIERSKI
5053081DAVID ALEXANDER KENNEDY
5194734ERIC DAVID KENNEDY
4258184TERRY JOE KENNEDY
5500248JULIUS FRANKLIN KENNEY, IV
2660317THEODORA KENNEYBREW
3081096BRIAN MARC KENNISON
2794050RICHARD FRANCIS KENNY, JR
2122478JOHN JOSEPH KENNY
733133DEREK ROY KENT
2584392DOUGLAS MATTHEW KENT
6203142ROBERT WILLIAM KENT
3202515ANDREAS STAVROS KENTROTAS
1937708W MICHAEL KENYON
2980989KIRK KENNETH KEPPER
4528809MICHELLE LEE KERN
1265486GREGORY ALFRED KERNECHEL
4339980BRIAN AARON KERNS
5422704DAVID RICHARD KERR, III
268444GORDON KERR
268516ROBERT JOSEPH KERRIGAN, SR
4940460TONY O'NEAL KERTCHAVAL
1027090DENNIS RAPHAEL KERULY
2337113GERALD JAMIESON KESNER
2814318ANTHONY JOSEPH KESSLAK
4703288ADAM CHADWICK KETCHAM
4945897MIKE A KETCHAM
3241522DAVID ALLEN KETTELHAKE
3012745BRYON SCOTT KEY
5339149DAVID C KEY
4262407RANDOL CRAIG KEY
720689ROBERT LEE KEYS
4823670ANNA KHAI
5720041HOMAYOUN KHALEELI
2028942SHAFIK A KHALIL
1923986MOHAMMAD ALI KHAN
5121140TEDLA EBOU KHAN
4156626MOHIT ANAND KHANNA
5603183VLADIMIR KHOSID
5551101ARTHUR KHOTINSKIY
2724277JASON LEE KIBBEE
2255243BRIAN GRAYSON KIDDER
4282821ALAN SHAWN KIEDAISCH
1692397WARREN DOUGLAS KIGGINS
4134681THOMAS JOSEPH KIGIN
2418075JOHN FRANCIS KILCOMMONS
4821323ANNIE ORION KIM
2598668DANIEL SOOHWAN KIM
4029402DARINN DWIGHT KIM
1981923EDWARD HYUNSOO KIM
6121957HEON CHEOL KIM
5238543JI HYE KIM
5035304JONG H KIM
2631568JOONBEOM KIM
2972169JUNG HAN KIM
2719039JUNGMIN KIM
3169779JUNYOUNG KIM
4765910KI-MOON KIM
5759710MATTHEW SUNGHOON KIM
3132361PATRICK SOUNGOOK KIM
3106647PETER H KIM
5068962PETER N KIM
5787453STEVE KIM
5687815YONG KUN KIM
4821531FRANCIS KIMARU
4598087SEAN PAUL KIMBLE
3199370KODY FREDRICK KIMES
2805550MARC STEVEN KIMMEL
2974352RYAN M KIMURA
5451767RAY D KINCANNON
2702152LARRY KING, JR
6123711AMANDA ROSE KING
6012392BLAKE P KING
4505156DANICA DANIALAH KING
6423921ELLEN TRACY KING
2191091GLENN ROBERT KING
2494159JEFFREY ALLEN KING
3029609LAURENCE H KING
6256535LYNSEY KING
5132166MILES C KING
5268506WESLEY ALLEN KING
1435579THOMAS MICHAEL KINSER
2462812WILLIAM ROBERT KINYON
2327018DANIEL STEVEN KIPPERT
3052965WESTON RAYMOND KIRBY
823868STEPHEN CHARLES KIRCHER
2238732VAN CARLL KIRCHHOFF
1499511ANTHONY JOSEPH KIRINCIC
1204425ROBERT THOMAS KIRK, JR
2004783NICKOLAS JOHN KIRK
708676STEVEN CHARLES KIRSCH
1171670JEFFREY MICHAEL KIRSCHNER
270856LAWRENCE GARY KIRSHBAUM
2508526SANDEEP DAVID KITSON
1481253RICHARD DONALD KITTELSTAD
1935556RONALD GABRIEL KLEBBA
5036893DAVID JOHN KLECKA, JR
3012167BRETT STERLING KLEESE
2686322ADAM PETER KLEIN
5952512ALEX CHRISTOPHER KLEIN
2723977BRIAN CRAIG KLEIN
2034286DAVID LOUIS KLEIN
1731164GARY CHARLES KLEIN
728058HAROLD LAWRENCE KLEIN
2080654KENNETH MICHAEL KLEIN
1818964JAMES JUSTIN KLEINKOPF
1310727JAYNE ANN KLEVEN
2512872THOMAS JOSEPH KLIMA
5598831BENJAMIN HALDEN KLINE
2597293CHRISTOPHER DEAN KLINE
1641746CHRISTOPHER THOMAS KLINE
2187964JEFFREY TIMOTHY KLUGE
2477332JOHN M KLUKEWYCZ
1928664MICHAEL JOHN KMAN, JR
4430001MICHAEL JOHN KMETZ
1726325TODD WILLIAM KMIEC
5063318JASON T KNAPP
5820996MARTIN EDWARD KNAPP
1303926MICHAEL JOSEPH KNAPP
1044421DERL HARRY KNARR
1836439GARY DAVID KNELLER
3100095REGINALD BERNARD KNIGHT
2937432RONALD ARTHUR KNIGHT
1984553BRIAN DAVID KNOPP
2747475WILLIAM ARTHUR KNOWLES
4190461THOMAS KNUDSEN
2767219JEFFREY MICHAEL KNUTSEN
1047287DIANA LOU KNUTSON
2886678BENNY T P KO
3275459KEITH JOSEPH KOBZIEWICZ
2442078WARREN SCOTT KOCH
4707447EVAN MATTHEW KOCHAV, M
4712826MICHAELENE KOCHER
5341342MICHAEL ALLEN KOCHERER
2873947MARK CHARLES KOEHLER
2994250DENNIS RAY KOENEMANN
2183243SHAWN PATRICK KOERNER
1302960MARK PETER KOESTNER
1973836LARRY D KOETS
5470296JONATHAN KOHANOF
2419594JOSHUA KOHN
5764555KISHANKUMAR M KOLADIYA
1440763PETER RUSSELL KOLESAR
734899STEPHEN MERO KOLESAR
1015682JAMES PAUL KOLF
4997582KENNETH JOSEPH KOLQUIST1
4031249KEVIN GERALD KOLZ
5327866KELVIN KOMA
1277990RONALD FRANCES KONCHALSKI
849161DAVID RUSSELL KONDRACKE
2823021THOMAS SPAETH KOON
1260147MARGARET KOPECKI
2882188CHARLES WILLIAM KOPP, III
2539521FRED KORAHAIS
2522250PETER KORAHAIS
1532705ADAM JOHN KOREJSZA
3105666JASON MICHAEL KORN
1490377BARRY MICHAEL KORNFELD
816161DANA ALEXANDER KOROSI
4259307ANDREW SEAN KOROTZER
2108802MICHAEL WILLARD KORSON
1277061EDWARD LEONARD KOSOWICZ
1940023WILLIAM HULL KOST, JR
1769981HIMANSHOO V KOTAK
4170441FREDERICK JURI KOTOWITZ
2068434CHARLES VITO KOUBEK, JR
2575692TROY ADAM KOUBEK
3011289ANTHONY KOULOURIS
3234388OLEG VITALIY KOURZANOV
4163388VASILIY KOUZNETSOV
4742065STEVEN DUNCAN KOWALSKE
5794970OSKAR KOWALSKI
5539227EMMANUEL TETTEH KPABITEY
3193997JACOB STEVEN KRACHT RUSSO
1896558ANDREW BENNETT KRAMER
5438903NICHOLAS CHARLES KRAMER
2611855JASON NEIL KRASKIEWICZ
1982792KENNETH DANIEL KRASSINGER, JR
5802675MARK P KRAUS
2445175ROBERT JOSEPH KRAUSE
1459880ELLIOT ALLEN KRAVITZ
1781437JOHN MICHAEL KRAWCZYK
1230302ALAN KREITMAN
729077RICHARD FRANCIS KRESGE
4142981KEVIN MICHAEL KRISKO
1514846DAVID RONALD KRIZMAN
2785320CHRISTOPHER KROLICK
1068867CHARLES WILLIAM KROMER, JR
3249742JASON ELLIOT KRONICK
1100066DALE EARL KRUEGER
4633666ROBERT W KRUSEC
4844747WILLIAM BLAZE KRUSHESKI
6062011JUSTIN ANTHONY KRUTSINGER
4534650KENNETH KRYGOWSKI
1107749JOHN WILLIAM KRYSKO
4278720AMBROSE KINHO KU
4605913THOMAS J KUBA
5913507ISSEI KUBOTA
1033768GREGG MATTHEWS KUCHAR
4118500ERIC WILLIAM KUCHEL
1067552JEROME STUART KUDISHER
4897471WILLIAM MICHAEL KUETHER
5103604CHRISTOPHER KUHLHOFF
1993792KEVIN JOSEPH KUHLOW
4275162JEFFREY LOUIS KUHN
5475749DEREK JON KUKLENSKI
4755396PAUL S KUKLINSKI
1972404RICHARD WAYNE KULASZEWSKI
5125242KENNETH A. KULEY
2169544ANIL PARBHUBHAI KUMAR
6613042TUCKER ROBERT KUNKEL
1274540KEVIN DEE KUNZ
2550128WILLIAM THOMAS KUPETS, JR
2487902CHRISTIAN PETER KURETSKI
4212669KYLE RYAN KURTZ
1554038JON DAVID KURZMANN
2634388JOHN KEITH KUTSCHE
2297069PATRICIA ANNE KWAN
2844089GREGORY THOMAS KWASNICKI
4741352DONNA L KWIATEK
1772470THOMAS JOHN KYRO
2659191HOJIN KYUNG

1. This matter has been appealed to the SEC. The findings and sanctions imposed are subject to review and modification by the SEC. The bar remains in effect pending the outcome of the appeal.