Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2025 failure to provide information or keep information current pursuant to FINRA Rule 9552 (d)
According to FINRA Disciplinary actions for June 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 |
| Kwabena Adusei | |
| Rezwan Mohammed Alam | PNC Investments |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Cody M. Anderson | Equitable Advisors |
| Courtney Rae Buth | |
| Jesus Gabriel Cantu | J.P. Morgan Securities LLC |
| Stacey Joy Chen | Goldman Sachs & Co LLC |
| Bennett Knapp Ely | Principal Securities Inc |
| Calton & Associates Inc | |
| Howard O’Keefe Graham | Stonex Securities Inc. |
| Wells Fargo Clearing Services, LLC | |
| Rebecca Katherine Hart | |
| Jennifer Marie Kuntzman | |
| Jason J. Ratkovich | J.P. Morgan Securities LLC |
![Stewart Ginn (a/k/a Stewart Taylor or Paxton Ginn Jr.), who is the owner of Paxton Financial Services, has been a broker Independent Financial Group, LLC since 2015. In 2023 Ginn was suspended by FINRA after FINRA found that Ginn “excessively traded five customers’ accounts” even though “[n]one of the five customers was an aggressive investor” and “three of the customers were retired seniors,” resulting in millions of dollars in losses.
According to the Financial Industry Regulatory Authority (FINRA), such misconduct violated FINRA Rules and Regulation Best Interest.
As a result, Ginn was suspended from acting as a FINRA broker for 18 months, was fined $50,000, and was ordered to pay restitution of $115,000 plus interest.](https://www.silverlaw.com/blog/wp-content/uploads/2025/08/Blog-Graphics15.png)
Stewart Ginn (a/k/a Stewart Taylor or Paxton Ginn Jr.), who is the owner of Paxton Financial Services, has been a broker Independent Financial Group, LLC since 2015. In 2023 Ginn was suspended by FINRA after FINRA found that Ginn “excessively traded five customers’ accounts” even though “[n]one of the five customers was an aggressive investor” and “three of the customers were retired seniors,” resulting in millions of dollars in losses. 
Silver Law Group founder and managing partner Scott Silver recently commented on a case in which