Securities Arbitration Lawyers Blog

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

FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2025

September 22, 2025 | Silver Law Group

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
Daylon Figueroa	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
Jeddidiah Ropheka Yohannes	Edward Jones

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

September 22, 2025 | Silver Law Group

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

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

September 19, 2025 | Silver Law Group

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

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

September 19, 2025 | Silver Law Group

According to FINRA Disciplinary actions for April 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
Mark Brosa	Ameriprise Financial Services, LLC
Mark Brosa	Edward Jones
Ryan D. Clayton	Merrill Lynch, Pierce, Fenner
Ryan D. Clayton	First Citizens Investor Services
Christopher Paul Hale	JP Morgan Securities
Christopher Paul Hale	MML Investor Services LLC
Desmond Lawrence James-Jones	Equitable Advisors LLC
Gustavo Santos Miramontes	Oppenheimer & Co.inc.
Gustavo Santos Miramontes	Wedbush Securities Inc.
Ryan K. Taleghani	Morgan Stanley
Ryan K. Taleghani	Merrill Lynch
Vanessa Arlene Webber