James Gabor Doering, a Registered Principal in Lenexa, KS, settled FINRA charges he willfully failed to disclose material information on his Form U4.  He also "lied: on his annual certifications by falsely answering “no” to whether he had been the subject of a Form U4 reportable event.  He was fined $5K and suspended in any capacity for 4 months.  Mr. Doering is no stranger to complaints.  A recent complaint charges that Doerning sold a customer a $400,000 private placement stake in Medical Capital Investments - which was the subject of an $180mn settlement between Ameriprise/Securities America and customers who lost money investing in fraudulent private placements.

This is FINRA Case #2009018661401.   [April 2011 Disciplinary Actions]