{"id":11734,"date":"2025-09-25T11:38:20","date_gmt":"2025-09-25T15:38:20","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11734"},"modified":"2025-09-25T11:38:42","modified_gmt":"2025-09-25T15:38:42","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-july-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-july-2025\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules July 2025"},"content":{"rendered":"

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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Shannon Bass<\/a><\/td>\nJP Morgan Securities LLC<\/td>\n<\/tr>\n
HSBC Securities Inc.<\/td>\n<\/tr>\n
Kathy Jean Koester<\/a><\/td>\nLPL Financial LLC<\/td>\n<\/tr>\n
Invest Financial Corporation<\/td>\n<\/tr>\n
James Parascandola<\/a><\/td>\nPruco Securities LLC<\/td>\n<\/tr>\n
Equitable Advisors LLC<\/td>\n<\/tr>\n
Noah Dewayne Shaw<\/a><\/td>\nCitigroup Global Markets Inc<\/td>\n<\/tr>\n
Merrill Lynch<\/td>\n<\/tr>\n
David Ryan Vega III<\/a><\/td>\nA S Setmark Brokerage<\/td>\n<\/tr>\n
Charles Schwab & Co<\/td>\n<\/tr>\n
Andrew S. Walters<\/a><\/td>\nFirst Kentucky Securities Corp<\/td>\n<\/tr>\n
Charles Schwab & Co<\/td>\n<\/tr>\n
Zachary A. Warnelis<\/a><\/td>\nNationwide Investment Services<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

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 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-11734","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations July 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2025, the following individuals were suspended and cannot work for a brokerage firm.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-july-2025\/\" \/>\n<meta name=\"twitter:card\" 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