{"id":11798,"date":"2025-12-02T10:33:21","date_gmt":"2025-12-02T15:33:21","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11798"},"modified":"2025-12-02T10:33:21","modified_gmt":"2025-12-02T15:33:21","slug":"finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-november-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-november-2025\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2025"},"content":{"rendered":"

According to FINRA Disciplinary actions for November 2025, the following individuals were barred 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:<\/p>\n\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>\nMerrill Lynch, Pierce Fenner & Smith Inc.<\/td>\n<\/tr>\n
Metlife Securities Inc.<\/td>\n<\/tr>\n
Hamish Andre Grason<\/a><\/td>\nUBS Financial Services Inc.<\/td>\n<\/tr>\n
Merrill Lynch, Pierce Fenner & Smith Inc.<\/td>\n<\/tr>\n
Adrian Malcom 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
Patrick Aaron Pistor<\/a><\/td>\nEquitable Advisors, LLC<\/td>\n<\/tr>\n
Robert Lee Remine<\/a><\/td>\nOsaic Wealth Inc.<\/td>\n<\/tr>\n
Securities America Inc<\/td>\n<\/tr>\n
Jose Angel Sanchez<\/a><\/td>\nInsight Securities Inc.<\/td>\n<\/tr>\n
Horwitz & Associates, Inc.<\/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
Ida Cukier Shkurman<\/a><\/td>\nInsight Securities Inc.<\/td>\n<\/tr>\n
Colony Park Financial Services<\/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 November 2025, the following individuals were barred 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: NAME FORMER EMPLOYERS Neil S. Cohen Merrill Lynch, Pierce Fenner & […]<\/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-11798","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Bars Stockbrokers November 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2025, the following were barred 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-bars-stockbrokers-for-failing-to-provide-finra-with-information-november-2025\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta 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