Securities Arbitration Lawyers Blog
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)
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 |
If you invested in the 352 Capital Fund through Jefferies Financial Group Inc., contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options.
Silver Law Group is investigating an alleged scheme to defraud 3|5|2 Capital ABS Master Fund LP (the “352 Fund”), which is a hedge fund that was part of Jefferies Financial Group’s Leucadia Asset Management (“Leucadia”). The former Leucadia portfolio manager of the 352 Fund, Jordan Chirico, was indicted for purportedly engaging in a series of conflicted transactions at the expense of those who entrusted Leucadia with hundreds of millions of dollars to invest in the 352 Fund.