A National Securities Arbitration & Investment Fraud Law Firm
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. Continue reading ›
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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Neil S. Cohen | Merill Lynch, Pierce, Fenner & Smith Inc. |
| Metlife Securities | |
| Jim Carl Dedmon Jr. | Wells Fargo Clearing Services LLC |
| Morgan Stanley | |
| Hamish Andre Grason | UBS Financial Services Inc |
| Merill Lynch, Pierce, Fenner & Smith Inc. | |
| Adrian Malcolm Ince | Standard New York, Inc. |
| ICBC Standard Securities Inc. | |
| Marcelo Jorcin | Insight Securities Inc |
| Jihoon Park | MML Investors Services LLC |
| Frey D. Pena Perez | J. P. Morgan Securities |
| Patrick Aaron Pistor | Equitable Advisors LLC |
| Jason J. Ratkovich | J. P. Morgan Securities |
| Joseph Alan Seidler | RBC Capital Markets LLC |
| Wells Fargo Clearing Services LLC | |
| Anand Anthony Sookbir | JP Morgan Securities LLC |
| Patsy Ann Turrentine | Prospera Financial Services Inc |
| Rodman & Renshaw Inc. |
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. |
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 |
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 |
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 |
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 ›
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 |
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 |
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 |
Securities Arbitration Lawyers Blog