James Harold Opheim (CRD # 1698507, Registered Representative, Spencer, Iowa) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Opheim consented to the described sanction and to the entry of findings that he wrongfully converted funds totaling approximately $105,516.54 from customers, and attempted to wrongfully convert funds totaling approximately $60,000 from another customer. The findings stated that Opheim converted, or attempted to convert, the funds by endorsing the checks that customers provided him without permission or authority and depositing the funds into his own personal account for his use and benefit.

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