Former State Farm rep barred by Finra

Kim Le's outside business activities were subject of investigation
DEC 20, 2017

The Financial Industry Regulatory Authority has barred former State Farm representative Kim D. Le for refusing to appear before a Finra panel investigating allegations that she failed to disclose outside business activities. Ms. Le was registered through State Farm from April 2013 until July 8, 2016, when the firm terminated her registration. She is no longer associated with a securities firm. Ms. Le began her securities career in 1997 at WMA Securities and moved to United Securities in 1999. She went to IAC Securities in 2000, Acument Securities in 2001 and First Discount Brokerage in 2002. She joined Allstate in 2006, moved back to First Discount in 2007, and then to Pruco Securities in 2010.

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