{"id":11786,"date":"2025-11-26T09:57:02","date_gmt":"2025-11-26T14:57:02","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11786"},"modified":"2025-11-26T09:57:02","modified_gmt":"2025-11-26T14:57:02","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-october-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-october-2025\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information October 2025"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Amber Nicole Cook<\/a><\/td>\nUS Bancorp Investments, Inc<\/td>\n<\/tr>\n
Bernie Mohar<\/a><\/td>\nEdward Jones<\/td>\n<\/tr>\n
Kathleen Rashleigh<\/a><\/td>\nUBS Financial Services Inc<\/td>\n<\/tr>\n
Merill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
George Stratis<\/a><\/td>\nTD Securities (USA) LLC<\/td>\n<\/tr>\n
Credit Suisse First Boston Corporation<\/td>\n<\/tr>\n
Anna Marie Verzosa<\/td>\n<\/td>\n<\/tr>\n
Andrew S. Walters<\/a><\/td>\nFirst Kentucky Securities Corp<\/td>\n<\/tr>\n
Charles Schwab & Co<\/td>\n<\/tr>\n
Nathan Reed Waters<\/td>\n<\/td>\n<\/tr>\n
Kevin Tong You<\/a><\/td>\nNorthwestern Mutual Investment Services LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for October 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-11786","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations October 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2025, the following were suspended and cannot currently 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\" 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