A National Securities Arbitration & Investment Fraud Law Firm
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 |
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 |
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 |
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 |
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 |
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 |
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 |
Securities Arbitration Lawyers Blog