Stockbroker Misconduct

FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2025

September 26, 2025 | Silver Law Group

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
Ida Cukier Shkurman	Colony Park Financial Services
William Shane Garrow	BOK Financial Securities Inc
William Shane Garrow	Banc of America Investment Services
Robert Lee Remine	Osaic Wealth Inc
Robert Lee Remine	Securities America Inc
Jose Angel Sanchez	Insight Securities Inc
Jose Angel Sanchez	Horwitz & Associates Inc

Former Miami Dolphin Player Alleges $2.6 Million Stolen By Financial Advisor

September 25, 2025 | Silver Law Group

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 ›

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2025

September 25, 2025 | Silver Law Group

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

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July, 2025

September 25, 2025 | Silver Law Group

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

FINRA Suspends Registered Individuals For Violations Of FINRA Rules July 2025

September 25, 2025 | Silver Law Group

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

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information July 2025

September 25, 2025 | Silver Law Group

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
Daylon Figueroa	Jackson National Life Distributors LLC
Amanda E. Kriss	J.P. Morgan Securities LLC
Amanda E. Kriss	Chase Investment Services Corp.
Michaels Oakely Thomas	Thrivent Investment Management
Jedidiah Ropheka Yohannes	Cetera Investment Services LLC
Jedidiah Ropheka Yohannes	Edward Jones

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement June, 2025

September 24, 2025 | Silver Law Group

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
James Burchett Cross	Commerce Brokerage Services Inc
Joshua Nathan Helmle	Integrity Brokerage LLC
Joshua Nathan Helmle	Avantax Investment Services.
John W. Nelson	Pruco Securities LLC
John W. Nelson	Lincoln Financial Advisors
Kevin F. Shipley	J. W. Cole Financial Inc
Kevin F. Shipley	Hennion & Walsh Inc

FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2025 failure to provide information or keep information current pursuant to FINRA Rule 9552 (d)

September 24, 2025 | Silver Law Group

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
Rezwan Mohammed Alam	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
Bennett Knapp Ely	Calton & Associates Inc
Howard O’Keefe Graham	Stonex Securities Inc.
Howard O’Keefe Graham	Wells Fargo Clearing Services, LLC
Rebecca Katherine Hart
Jennifer Marie Kuntzman
Jason J. Ratkovich	J.P. Morgan Securities LLC

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information June 2025

September 23, 2025 | Silver Law Group

According to FINRA Disciplinary actions for June 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
Jeu Emmanuel Delgado Lopez	PFS Investments Inc.
Jerome Oliver Harris	Farmers Financial Solutions LLC
Thomas Christopher Johnson	NYLife Securities LLC

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2025

September 22, 2025 | Silver Law Group

According to FINRA Disciplinary actions for May 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
Cassandra N. Heitz	LPL Financial, LLC
Cassandra N. Heitz	Investment Canters of America