{"id":11754,"date":"2025-10-02T15:57:58","date_gmt":"2025-10-02T19:57:58","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11754"},"modified":"2025-10-02T15:57:58","modified_gmt":"2025-10-02T19:57:58","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-september-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-september-2025\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information September 2025"},"content":{"rendered":"

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:<\/p>\n\n\n\n\n\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
Neil S. Cohen<\/a><\/td>\nMerill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
Metlife Securities<\/td>\n<\/tr>\n
Jim Carl Dedmon Jr.<\/a><\/td>\nWells Fargo Clearing Services LLC<\/td>\n<\/tr>\n
Morgan Stanley<\/td>\n<\/tr>\n
Hamish Andre Grason<\/a><\/td>\nUBS Financial Services Inc<\/td>\n<\/tr>\n
Merill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
Adrian Malcolm Ince<\/a><\/td>\nStandard New York, Inc.<\/td>\n<\/tr>\n
ICBC Standard Securities Inc.<\/td>\n<\/tr>\n
Marcelo Jorcin<\/a><\/td>\nInsight Securities Inc<\/td>\n<\/tr>\n
Jihoon Park<\/a><\/td>\nMML Investors Services LLC<\/td>\n<\/tr>\n
Frey D. Pena Perez<\/a><\/td>\nJ. P. Morgan Securities<\/td>\n<\/tr>\n
Patrick Aaron Pistor<\/a><\/td>\nEquitable Advisors LLC<\/td>\n<\/tr>\n
Jason J. Ratkovich<\/a><\/td>\nJ. P. Morgan Securities<\/td>\n<\/tr>\n
Joseph Alan Seidler<\/a><\/td>\nRBC Capital Markets LLC<\/td>\n<\/tr>\n
Wells Fargo Clearing Services LLC<\/td>\n<\/tr>\n
Anand Anthony Sookbir<\/a><\/td>\nJP Morgan Securities LLC<\/td>\n<\/tr>\n
Patsy Ann Turrentine<\/a><\/td>\nProspera Financial Services Inc<\/td>\n<\/tr>\n
Rodman & Renshaw Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

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 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11754","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Rules Violations September 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2025, the following were suspended and cannot work for a brokerage firm for failing to provide information.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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