Securities Arbitration Lawyers Blog

Mohammed A. Salim (CRD# 7126671), a financial broker, with five years of industry experience, has been permanently barred from associating with any FINRA member firm following allegations of unauthorized sales and improper transfers of funds from a customer’s account to cover his personal creditors. At the time of the alleged…

According to FINRA Disciplinary actions for September 2025, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…

According to FINRA Disciplinary actions for September 2025, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Jared Stephen Dulski Citigroup Global Markets Inc. Oppenheimer & Co Inc. Samuel D. Frankfort Rockefeller Financial…

According to FINRA Disciplinary actions for September 2025, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Cody M. Anderson…

Silver Law Group is investigating claims on behalf of clients who lost money investing with Hedgehog Investments, a Utah-based company that raised millions of dollars from investors via promissory notes. Investors were promised their invested funds would be used to help growing companies obtain financing. In May 2025, the Utah…

According to FINRA Disciplinary actions for August 2025, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Jon David Broadbent Lawson Financial Corporation Pamela Denise Lawson Lawson Financial Corporation Robert Warren Lawson Lawson…

According to FINRA Disciplinary actions for August 2025, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…

Isaiah Thomas Williams Jr. was a Florida financial advisor who has allegedly gone rogue possibly stealing over $2 million from his client Reshad Jones, former safety for the Miami Dolphins, for travel, strip clubs, child support payment and legal fees from 2020-2024. At the time of the incident, Isaiah Thomas…

According to FINRA Disciplinary actions for August 2025, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Kwabena Adusei Rezwan…

According to FINRA Disciplinary actions for July 2025, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Kevin Michael Arvoy D.A. Davidson & Co. Raymond James & Associates, Inc. Michael Barrows M Stevens…