According to FINRA, Kwabena Adusei was barred from association with any FINRA member firm for failure to provide information or keep information current pursuant to FINRA Rule 9552(h).

The bar became effective on June 13, 2025. Adusei was based in Charlotte, North Carolina and had CRD number 7214627. The specific FINRA case number is 2024083368101.

FINRA Rule 9552(h) provides that if a person fails to respond to a request for information within the time period specified, FINRA may bar that person from association with any member firm. This rule ensures that FINRA can obtain the information it needs to fulfill its investor protection mission.

Cooperation with FINRA is a fundamental obligation of all persons associated with member firms, and this obligation continues even after a person leaves the industry. When individuals fail to respond to FINRA information requests, they prevent regulators from fully investigating potential misconduct and protecting investors.

A bar from the securities industry is permanent and prohibits the individual from associating with any FINRA member firm in any capacity. This sanction reflects the seriousness with which FINRA views failures to cooperate with its regulatory functions.

For investors, this action serves as a reminder that FINRA actively monitors and investigates individuals in the securities industry. When associated persons refuse to participate in regulatory processes, they face severe consequences.

Investors can check the background of any broker using FINRA's BrokerCheck tool, which includes information about bars and other disciplinary actions. This free resource helps investors make informed decisions about who they trust with their investments.