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Articles Posted in Stockbroker Misconduct

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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 LLC
Raymond James & Associates, Inc.
Tony Graybeal Wells Fargo Clearing Services, LLC
Suntrust Investment Services, Inc.
Joshua Austin Harris First Citizens Investor Services
Wells Fargo Clearing Services LLC
Joseph Alan Seidler RBC Capital Markets LLC
Wells Fargo Clearing Services LLC
Andrew Smith Farmers Financial Solutions LLC
U.S. Bancorp Investments Inc.
Katherine Alexanra Tarbox SVB Securities LLC
Raymond James & Associates, Inc.

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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 Equitable Advisors LLC
Sharon Bass JP Morgan Securities LLC
HSBC Securities (USA) Inc.
Stacey Joy Chen Goldman Sachs & Co. LLC
Rebecca Katherine Hart
Kathy Jean Koester LPL Financial LLC
Invest Financial Corporation
Jennifer Marie Kuntzman
James Parascandola Pruco Securities LLC
Equitable Advisors LLC
David Ryan Vega III Assetmark Brokerage LLC
Charles Schwab & Co. Inc
Zachary A. Warnelis Nationwide Investment Services

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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 Financial Corporation
J Milton Newton Inc
Bryan James Moskowitz NYLife Securities LLC
Spartan Capital Securities LLC
Kevin Nowaskey Stifel Nicolaus & Company Inc
Moelis & Company LLC
Joshua Morgan Pruitt Raymond James & Associates Inc
Merrill Lynch, Pierce, Fenner & Smith Inc
Durgesh Rajawat Kestra Investment Services LLC
Merrill Lynch, Pierce, Fenner & Smith Inc

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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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
Amber Nicole Cook U.S. Bancorp Investments Inc
Ida Cukier Shkurman Insight Securities Inc
Colony Park Financial Services
William Shane Garrow BOK Financial Securities Inc
Banc of America Investment Services
Robert Lee Remine Osaic Wealth Inc
Securities America Inc
Jose Angel Sanchez Insight Securities Inc
Horwitz & Associates Inc

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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 Williams Jr. was a vice president at Merrill Lynch. Merrill Lynch is also being sued for damages and failure to supervise their advisor properly amongst claims that the bank has a fiduciary duty to safeguard the client’s assets. The money stolen during 133 transfers from Reshad Jones’ Bank of America account including transfers to Isaiah Williams American Express cards during these four years. 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. Continue reading ›

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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 Mohammed Alam PNC Investments
Merill Lynch, Pierce, Fenner & Smith Inc.
Courtney Rae Buth
Jesus Gabriel Cantu JP Morgan Securities LLC
Bennett Knapp Ely Principal Securities, Inc
Calton & Associates Inc
Howard O’Keefe Graham Stonex Securities Inc
Wells Fargo Clearing Services LLC
Kristina Jaymes Hoisington
Lawrence Nathaniel Parker Northwestern Mutual Investment
Gian Carlo Piovanetti Popular Securities LLC

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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 Securities
Kingswood Capital Partners
Kirk James Crossen Raymond James & Associates Inc
Morgan Stanley
Heather Harris Equitable Advisors LLC
Farmers Financial Solutions LLC
Brooks Burgess Johnson Morgan Stanley
Merrill Lynch
Eric John Ludovico Innovation Partners LLC
M Stevens Securities LLC
Michael Lawrence Stenson Wells Fargo Clearing Services LLC
Edward Jones

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According to FINRA Disciplinary actions for July 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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
Shannon Bass JP Morgan Securities LLC
HSBC Securities Inc.
Kathy Jean Koester LPL Financial LLC
Invest Financial Corporation
James Parascandola Pruco Securities LLC
Equitable Advisors LLC
Noah Dewayne Shaw Citigroup Global Markets Inc
Merrill Lynch
David Ryan Vega III A S Setmark Brokerage
Charles Schwab & Co
Andrew S. Walters First Kentucky Securities Corp
Charles Schwab & Co
Zachary A. Warnelis Nationwide Investment Services

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According to FINRA Disciplinary actions for July 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
Anthony Richard Bottini III Merrill Lynch
Daylon Figueroa Brighthouse Securities LLC
Jackson National Life Distributors LLC
Amanda E. Kriss J.P. Morgan Securities LLC
Chase Investment Services Corp.
Michaels Oakely Thomas Thrivent Investment Management
Jedidiah Ropheka Yohannes Cetera Investment Services LLC
Edward Jones

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According to FINRA Disciplinary actions for June 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
James Burchett Cross Charles Schwab & Co Inc
Commerce Brokerage Services Inc
Joshua Nathan Helmle Integrity Brokerage LLC
Avantax Investment Services.
John W. Nelson Pruco Securities LLC
Lincoln Financial Advisors
Kevin F. Shipley J. W. Cole Financial Inc
Hennion & Walsh Inc

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