FINRA Disciplinary Actions

The Financial Industry Regulatory Authority (FINRA) has barred Nana Kwame Kwakye-Bissah (CRD #7044974) of Alexandria, Virginia, from associating with any FINRA member firm in any capacity after he failed to respond to requests for documents and information during a regulatory investigation. On January 13, 2026, an Office of Hearing Officers (OHO) decision became final under

The Financial Industry Regulatory Authority (FINRA) has barred Jeffrey Kenneth Galvani (CRD #3048728) of Hoboken, New Jersey, and Stuart A. Jeffery (CRD #5241790) of Rockville Centre, New York, from associating with any FINRA member firm in any capacity after they refused to provide on-the-record testimony during a regulatory investigation. On January 12, 2026, an Office

The Financial Industry Regulatory Authority (FINRA) has barred Ali F. Chehab (CRD #7625979) of Portland, Oregon, from associating with any FINRA member firm in any capacity after he failed to provide documents requested during a regulatory investigation. On December 15, 2025, an Office of Hearing Officers (OHO) decision became final under FINRA Case #2024082633901. Investigation

The Financial Industry Regulatory Authority (FINRA) has barred Ryan Wesley Davis (CRD #5285713) of Jenks, Oklahoma, from associating with any FINRA member firm in any capacity after he refused to appear for on-the-record testimony during a regulatory investigation. On December 12, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2024083413501.

The Financial Industry Regulatory Authority (FINRA) has barred Richard Stanislaus Routie (CRD #4379905) of Orlando, Florida, from associating with any FINRA member firm in any capacity after he refused to appear for on-the-record testimony during a regulatory investigation. On December 12, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2023079368801.