← Broker database 2025-05-05
Multiple Individuals Barred for Failing to Provide Information to FINRA
According to FINRA, five individuals were barred from association with any FINRA member pursuant to FINRA Rule 9552(h) for failing to provide information or keep information current:
Anthony Richard Bottini III of New York, New York was barred effective May 5, 2025.
Daylon Figueroa of Nashville, Tennessee was barred effective May 12, 2025.
Amanda E. Kriss of Princeton, Texas was barred effective May 5, 2025.
Michael Oakley Thomas of Lakeland, Florida was barred effective May 5, 2025.
Jedidiah Ropheka Yohannes of Dallas, Texas was barred effective May 12, 2025.
A bar under Rule 9552(h) occurs when an individual fails to respond to FINRA information requests and a suspension under Rule 9552(d) has converted to a permanent bar. This typically happens when an individual is suspended for non-response and then fails to respond for an extended period.
These bars are sanctions for failing to cooperate with FINRA's regulatory authority. However, when individuals refuse to provide information requested in investigations, it often suggests concerns about what that information might reveal.
The underlying investigations that prompted these information requests are not described in the public notice. Investors who worked with any of these individuals may want to review their accounts carefully.
Barred individuals cannot work in any capacity with a FINRA member firm. This sanction is permanent unless FINRA later grants relief.
Investors can verify any individual's current registration status and view regulatory history through FINRA BrokerCheck.