James Byongmin Yim (CRD # 3137645, Registered Representative, Sparks, Nevada) was barred from association with any FINRA member in any capacity and ordered to pay $414,000 in restitution to a public customer. The sanctions were based on findings that Yim submitted requests to his member firm, which public customers purportedly signed, requesting the transfer of funds totaling $1,328,000 from the customers’ accounts to other accounts, without their knowledge, authorization or consent. The findings stated that Yim failed to respond to FINRA requests for information and to appear for an on-the-record interview. (FINRA Case # 20060063365-01)

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