Securities Arbitration Lawyers Blog
FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information September 2025
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. |
Silver Law Group is investigating claims on behalf of clients who lost money investing with Hedgehog Investments, a Utah-based company that raised millions of dollars from investors via promissory notes. Investors were promised their invested funds would be used to help growing companies obtain financing. 
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.