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Articles Posted in Stockbroker Misconduct

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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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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

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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

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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
Investment Canters of America

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According to FINRA Disciplinary actions for March 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
Daylon Figueroa Brightnouse Securities LLC
Jackson National Life Distribution
Kristina Jaymes Hoisington
Lawrence Nathaniel Parker Northwestern Mutual Investment
Gian Carlo Piovanetti Popular Securities LLC
Jeddidiah Ropheka Yohannes Cetera Investment Services LLC
Edward Jones

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According to FINRA Disciplinary actions for March 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
John Douglas Engler Sr. Ameriprise Financial Services
Wells Fargo Advisors LLC
Joseph Alan Seidler RBC Capital Markets LLC
Wells Fargo Clearing Services
Robert A. Thomas IBN Financial Services Inc
Avantax Investment Services.
Robert James Tracy LPL Financial LLC
Wells Fargo Clearing Services
Robert Thomas Wong Jefferies LLC
Scott-Macon Securities Inc

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According to FINRA Disciplinary actions for April 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
Eric Jason Abrahams Burch & Company
Raymond James & Associates, Inc.
James Burchett Cross Charles Schwab & Co. Inc.
Commerce Brokerage Services Inc
Michael Fasciglione Aegis Capital Corp
National Securities Corp.
Jason Michael Fekete Ameritas Investment Company LLC
Lincoln Financial Securities
Jeremy W. Fortner Wells Fargo Clearing Services
J. P. Morgan Securities LLC
Todd Loring Luft B. Riley Wealth Management
Ameriprise Financial Services LLC
Andrew Garrett Mandala Burch & Company
Raymond James & Associates Inc.
James J. Mariani Aegis Capital Corp.
National Securities Corporation
Amy Leanne Marx Osaic Wealth Inc.
Park Ave Securities LLC
Daniella R. Rand International Assets Advisory LLC
Merrill Lynch, Pierce, Fenner
Ruben Trujillo Wells Fargo Clearing Services LLC
PNC Investments

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