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Individuals Barred by FINRA - K

The individuals listed below have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any member in any capacity. The list comprises individuals who were associated with a FINRA registered firm on or after FINRA launched Web CRD on August 16, 1999. Where indicated, individuals on this list have appealed FINRA's final action to the SEC or, in the case of a final order of the SEC sustaining FINRA's action, to the courts; thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts.

This list includes individuals who were barred by FINRA as of May 31, 2019. Individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will not appear on this list until the decision becomes a final FINRA action and the time period provided for an appeal permitted under the Exchange Act has expired. FINRA updates this list once a month. For more complete information, please consult BrokerCheck. Where an individual does not have a BrokerCheck record, a record of the bar can be found in the summary in the FINRA Monthly Disciplinary Action Report

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CRD Individual Name
2727926 DAVID THEODORE KAAGAN
1453982 CHARLA CYNTHIA KABANA
2951779 ROBERT JOHN KACZOROWSKI
4929590 SABRINA MARIE KADETS
2717532 ABDULLA AKHTERHUSAIN KAGALWALLA
263122 JEFFREY ARTHUR KAHN
2163244 JOHN KALEIHIEHIE KAI
5482873 MARIA GEORGE KAKISSIS
4888800 CHRISTOS ANGELO KALATOUDIS
1530241 DENVER ARLENE KALKOFEN
2031370 DAVID BRYAN KALT
1920540 RONALD JOHN KAMBIC
1525721 MIRO KAMENIK
5141098 CRAIG M KAMIJIMA
4396494 BETH ANN KAMMERDIENER
2719614 DANIEL JOSEPH KANABROSKI
3055831 KOJO NANTAMBU KANDI
2167829 MICHAEL NORMAN KANE, II
2855301 MATTHEW JUN KANG
4869834 JASON ALAN KANSIER
1542030 JEROME JACOB KANTER
5700105 HONETTA C KAO
2589146 RAM KAPARA
4259968 ASHIK AKBERALI KAPASI
1978048 MARK KAPLAN
2714169 MATTHEW SAMUEL KAPLAN
2908394 SCOTT KEITH KAPLAN
6126137 SEAN DAVID KAPLAN
2832379 DEAN KAPLANIDIS
5578390 BRANDON MICHAEL KAPPES
2159293 ROGER ANGELO KAPSALIS
1844025 KARL EDWARD KAPUSTKA
4001615 PERRY PETER KARAHALIOS
4682429 JACOB KARAMIAN
2634993 ARMEN KARAPETYAN
1227463 DENNIS KEITH KARASIK
264316 JOSEPH LEE KARCAGI
3184384 GEORGE ALEXANDER KARDARAS
2893973 ANDREW VINCENT KARDISH, II
1568680 THOMAS GEORGE KARIDAS
5869994 DANIEL GEORGE KASBAR
4954668 DAVID L KASHNER
3105331 STUART WILLIAMS KASIN
4816180 FARAN S KASSAM
5634449 VICKEN KASSOUNY
5836566 JOHN MICHAEL KASTELIC, JR
4890437 JAMES M KATAYANAGI
2050766 LOUIS KONSTANTINOS KATOGYRITIS
4332609 ELIAS NICHOLAS KATSIS
2497641 JOHN JOSEPH KATSOCK, JR
6617017 LINDSEY MARIE KATULA
4426776 MICHAEL JORDAN KATZ
5216261 ROBIN EMILY KATZ
2365373 DAVID CHARLES KAUFFMAN
2848389 JOYCE ANN KAUFFMANN
2774898 BARRY ALAN KAUFMAN
852490 CAROLYN CHAMBERS KAUFMAN
1309961 JOHN FRANCIS KAVALEC
2794227 EMMANUEL GEORGE KAVEKOS
5070318 GEORGE KAVOURIS
2309807 JOHN DAVID KAWESKE
1374570 HERBERT IVAN KAY
5096906 MICHAEL PATRICK KAY
1133657 ROBERT BRIAN KAY
2459633 EVAN LEWIS KAYE
708547 MICHAEL JAMES KAZACOS
2371296 AARON NASH KAZINEC
1665504 NORMAN LEE KEARNEY, JR
1242675 KORY PENLAND KEATH
2918547 DENNIS LEE KEATING, II
5494745 JOSEPH MICHAEL KEEGAN
1637776 JAMES COY KEENE
2956478 JUSTIN WILLIAM KEENER
2259850 PATRICK EUGENE KEENEY
1911150 KYLE JAY KEESLING
2103759 STEVEN CRAIG KEIFNER
4349045 ALI KEITA
4461795 VALBONA KEJA KEJA-DASILVA
3244480 MICHAEL WILLIAM KELEHER
4680152 CALVIN L KELLE
2846901 CHAD MICHAEL KELLER
873009 JOHN WALTER KELLER
2973355 SHAWN STEVEN KELLER
1179082 DEBORAH DICKSON KELLEY
1183995 KEVIN OWEN KELLEY
1816472 MATTHEW DEATER KELLEY
1485072 MICHAEL ALLEN KELLEY
5798473 SHANE T. KELLEY
1773462 WILLIAM GEORGE KELLY, JR
2712230 CHAD DAVID KELLY
1994768 JACK RICHARD KELLY
3223982 JEFFERY JOSEPH KELLY
2547707 JEFFREY GARLAND KELLY
4447819 MICHEAL EUGENE KELLY
4089029 PETER DAMIEN KELLY
2306574 SCOTT EDWARD KELLY
3241767 STEVE G KELLY
1386403 THOMAS EDWARD KELLY
1105037 TIMOTHY MICHAEL KELLY
2456876 WILLIAM FRANCIS KELLY
4554701 JOHN ALVIN KELSEY
4199658 JACQUELINE ANN KEMP
4802277 DAVID KEMPERT
707275 ALLYNE RIESE KENDALL, III
2195972 WILLIAM A KENDALL
1290761 ROBERT JAY KENDZIERSKI
5053081 DAVID ALEXANDER KENNEDY
5194734 ERIC DAVID KENNEDY
4258184 TERRY JOE KENNEDY
5500248 JULIUS FRANKLIN KENNEY, IV
2660317 THEODORA KENNEYBREW
3081096 BRIAN MARC KENNISON
2794050 RICHARD FRANCIS KENNY, JR
2122478 JOHN JOSEPH KENNY
733133 DEREK ROY KENT
2584392 DOUGLAS MATTHEW KENT
6203142 ROBERT WILLIAM KENT
3202515 ANDREAS STAVROS KENTROTAS
1937708 W MICHAEL KENYON
2980989 KIRK KENNETH KEPPER
4528809 MICHELLE LEE KERN
1265486 GREGORY ALFRED KERNECHEL
4339980 BRIAN AARON KERNS
5422704 DAVID RICHARD KERR, III
268444 GORDON KERR
268516 ROBERT JOSEPH KERRIGAN, SR
4940460 TONY O'NEAL KERTCHAVAL
1027090 DENNIS RAPHAEL KERULY
2337113 GERALD JAMIESON KESNER
2814318 ANTHONY JOSEPH KESSLAK
4703288 ADAM CHADWICK KETCHAM
4945897 MIKE A KETCHAM
3241522 DAVID ALLEN KETTELHAKE
3012745 BRYON SCOTT KEY
5339149 DAVID C KEY
4262407 RANDOL CRAIG KEY
720689 ROBERT LEE KEYS
4823670 ANNA KHAI
5720041 HOMAYOUN KHALEELI
6127719 ADHAM SHAFIK KHALIL
2028942 SHAFIK A KHALIL
4727750 ATIQ URREHMAN KHAN
1923986 MOHAMMAD ALI KHAN
3168241 SUHAIL SALEEM KHAN
5121140 TEDLA EBOU KHAN
4156626 MOHIT ANAND KHANNA
5603183 VLADIMIR KHOSID
5551101 ARTHUR KHOTINSKIY
6108009 MANDEE KHU
2724277 JASON LEE KIBBEE
2255243 BRIAN GRAYSON KIDDER
4282821 ALAN SHAWN KIEDAISCH
1692397 WARREN DOUGLAS KIGGINS
4134681 THOMAS JOSEPH KIGIN
2418075 JOHN FRANCIS KILCOMMONS
4591890 SEAN WILLIAM KILLORAN
4821323 ANNIE ORION KIM
2598668 DANIEL SOOHWAN KIM
4029402 DARINN DWIGHT KIM
1981923 EDWARD HYUNSOO KIM
6121957 HEON CHEOL KIM
5238543 JI HYE KIM
5035304 JONG H KIM
2631568 JOONBEOM KIM
2972169 JUNG HAN KIM
2719039 JUNGMIN KIM
3169779 JUNYOUNG KIM
6242780 KEESANG JOHN KIM
4765910 KI-MOON KIM
2864085 KYUSUN KIM
5759710 MATTHEW SUNGHOON KIM
3132361 PATRICK SOUNGOOK KIM
3106647 PETER H KIM
5068962 PETER N KIM
5787453 STEVE KIM
5687815 YONG KUN KIM
4821531 FRANCIS KIMARU
4598087 SEAN PAUL KIMBLE
3199370 KODY FREDRICK KIMES
2805550 MARC STEVEN KIMMEL
2974352 RYAN M KIMURA
5451767 RAY D KINCANNON
2702152 LARRY KING, JR
6123711 AMANDA ROSE KING
6012392 BLAKE P KING
4505156 DANICA DANIALAH KING
6423921 ELLEN TRACY KING
6774924 ERIN LINDSAY KING
2191091 GLENN ROBERT KING
2494159 JEFFREY ALLEN KING
3029609 LAURENCE H KING
6256535 LYNSEY KING
5132166 MILES C KING
5268506 WESLEY ALLEN KING
1435579 THOMAS MICHAEL KINSER
2462812 WILLIAM ROBERT KINYON
1255862 STEPHEN JOSEPH KIPP
2327018 DANIEL STEVEN KIPPERT
3052965 WESTON RAYMOND KIRBY
823868 STEPHEN CHARLES KIRCHER
2238732 VAN CARLL KIRCHHOFF
1499511 ANTHONY JOSEPH KIRINCIC
1204425 ROBERT THOMAS KIRK, JR
2004783 NICKOLAS JOHN KIRK
708676 STEVEN CHARLES KIRSCH
1171670 JEFFREY MICHAEL KIRSCHNER
1326676 MARTIN KIRSCHNER
270856 LAWRENCE GARY KIRSHBAUM
2508526 SANDEEP DAVID KITSON
1481253 RICHARD DONALD KITTELSTAD
2768200 KIMBERLY PINE KITTS
2910714 JASON HARRIS KLABAL
1935556 RONALD GABRIEL KLEBBA
5036893 DAVID JOHN KLECKA, JR
3012167 BRETT STERLING KLEESE
2686322 ADAM PETER KLEIN
5952512 ALEX CHRISTOPHER KLEIN
2723977 BRIAN CRAIG KLEIN
2034286 DAVID LOUIS KLEIN
1731164 GARY CHARLES KLEIN
728058 HAROLD LAWRENCE KLEIN
2080654 KENNETH MICHAEL KLEIN
1818964 JAMES JUSTIN KLEINKOPF
1310727 JAYNE ANN KLEVEN
2512872 THOMAS JOSEPH KLIMA
5598831 BENJAMIN HALDEN KLINE
2597293 CHRISTOPHER DEAN KLINE
1641746 CHRISTOPHER THOMAS KLINE
2187964 JEFFREY TIMOTHY KLUGE
2477332 JOHN M KLUKEWYCZ
1928664 MICHAEL JOHN KMAN, JR
4430001 MICHAEL JOHN KMETZ
1726325 TODD WILLIAM KMIEC
5063318 JASON T KNAPP
5820996 MARTIN EDWARD KNAPP
1303926 MICHAEL JOSEPH KNAPP
1044421 DERL HARRY KNARR
1852920 JAMES EDWARD KNEE
1836439 GARY DAVID KNELLER
3100095 REGINALD BERNARD KNIGHT
2937432 RONALD ARTHUR KNIGHT
1984553 BRIAN DAVID KNOPP
2747475 WILLIAM ARTHUR KNOWLES
4190461 THOMAS KNUDSEN
2767219 JEFFREY MICHAEL KNUTSEN
1047287 DIANA LOU KNUTSON
3039112 STEVEN ROLAND KNUTTILA
2886678 BENNY T P KO
3275459 KEITH JOSEPH KOBZIEWICZ
2442078 WARREN SCOTT KOCH
4707447 EVAN MATTHEW KOCHAV, M
4712826 MICHAELENE KOCHER
5341342 MICHAEL ALLEN KOCHERER
2873947 MARK CHARLES KOEHLER
2994250 DENNIS RAY KOENEMANN
2183243 SHAWN PATRICK KOERNER
1302960 MARK PETER KOESTNER
1973836 LARRY D KOETS
5470296 JONATHAN KOHANOF
2419594 JOSHUA KOHN
5764555 KISHANKUMAR M KOLADIYA
1440763 PETER RUSSELL KOLESAR
734899 STEPHEN MERO KOLESAR
1015682 JAMES PAUL KOLF
4997582 KENNETH JOSEPH KOLQUIST
4031249 KEVIN GERALD KOLZ
5327866 KELVIN KOMA
1277990 RONALD FRANCES KONCHALSKI
849161 DAVID RUSSELL KONDRACKE
1727785 RICK DOUGLAS KONECNY
2823021 THOMAS SPAETH KOON
1131758 LESLIE RHODES KOONCE
1260147 MARGARET KOPECKI
2882188 CHARLES WILLIAM KOPP, III
2539521 FRED KORAHAIS
2522250 PETER KORAHAIS
1532705 ADAM JOHN KOREJSZA
3105666 JASON MICHAEL KORN
1490377 BARRY MICHAEL KORNFELD
816161 DANA ALEXANDER KOROSI
4259307 ANDREW SEAN KOROTZER
2108802 MICHAEL WILLARD KORSON
1277061 EDWARD LEONARD KOSOWICZ
1940023 WILLIAM HULL KOST, JR
1769981 HIMANSHOO V KOTAK
4170441 FREDERICK JURI KOTOWITZ
2068434 CHARLES VITO KOUBEK, JR
2575692 TROY ADAM KOUBEK
3011289 ANTHONY KOULOURIS
3234388 OLEG VITALIY KOURZANOV
4163388 VASILIY KOUZNETSOV
4742065 STEVEN DUNCAN KOWALSKE
5794970 OSKAR KOWALSKI
5539227 EMMANUEL TETTEH KPABITEY
3193997 JACOB STEVEN KRACHT RUSSO
1896558 ANDREW BENNETT KRAMER
5438903 NICHOLAS CHARLES KRAMER
2611855 JASON NEIL KRASKIEWICZ
1982792 KENNETH DANIEL KRASSINGER, JR
5802675 MARK P KRAUS
2445175 ROBERT JOSEPH KRAUSE
1459880 ELLIOT ALLEN KRAVITZ
1781437 JOHN MICHAEL KRAWCZYK
4654104 ROBERT ELWOOD KREIS
1230302 ALAN KREITMAN
729077 RICHARD FRANCIS KRESGE
4142981 KEVIN MICHAEL KRISKO
5295965 JOSHUA DEAN KRIZE
1514846 DAVID RONALD KRIZMAN
1526864 ROGER KROEGER
2785320 CHRISTOPHER KROLICK
1068867 CHARLES WILLIAM KROMER, JR
3249742 JASON ELLIOT KRONICK
1100066 DALE EARL KRUEGER
5894094 ANNA KRUGLIKOV
4121845 DAVID WAYNE KRUMREY
4307569 JEFFREY E KRUPNICK
4633666 ROBERT W KRUSEC
4844747 WILLIAM BLAZE KRUSHESKI
6062011 JUSTIN ANTHONY KRUTSINGER
4534650 KENNETH KRYGOWSKI
1107749 JOHN WILLIAM KRYSKO
4278720 AMBROSE KINHO KU
4605913 THOMAS J KUBA
1527367 CHRIS RAYMOND KUBIAK
5913507 ISSEI KUBOTA
1033768 GREGG MATTHEWS KUCHAR
4118500 ERIC WILLIAM KUCHEL
1067552 JEROME STUART KUDISHER
4897471 WILLIAM MICHAEL KUETHER
5103604 CHRISTOPHER KUHLHOFF
1993792 KEVIN JOSEPH KUHLOW
4275162 JEFFREY LOUIS KUHN
5475749 DEREK JON KUKLENSKI
4755396 PAUL S KUKLINSKI
1972404 RICHARD WAYNE KULASZEWSKI
5125242 KENNETH A. KULEY
2169544 ANIL PARBHUBHAI KUMAR
6613042 TUCKER ROBERT KUNKEL
1274540 KEVIN DEE KUNZ
2550128 WILLIAM THOMAS KUPETS, JR
2487902 CHRISTIAN PETER KURETSKI
4212669 KYLE RYAN KURTZ
2437746 MITCHELL ALLEN KURTZ
1554038 JON DAVID KURZMANN
2634388 JOHN KEITH KUTSCHE
2297069 PATRICIA ANNE KWAN
2844089 GREGORY THOMAS KWASNICKI
4741352 DONNA L KWIATEK
1772470 THOMAS JOHN KYRO
2659191 HOJIN KYUNG
5381195 Matthew Donald Kerby
5481720 FALLAN E King