← Broker database 2026-03-09
William Kershaw Suspended for Failure to Provide Information to FINRA Pursuant to Rule 9552
According to FINRA, William Kershaw (CRD #7861603) of Trinity, North Carolina, was suspended from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA. The suspension became effective on March 9, 2026, under FINRA Case #2025086456101.
FINRA Rule 9552(d) provides FINRA with authority to suspend a registered person who fails to comply with a FINRA request for information within a specified period. The suspension remains in effect until the individual remedies the deficiency that triggered it, or until it converts to a permanent bar under Rule 9552(h) if the deficiency is not addressed within the suspension period.
The obligation to cooperate with FINRA's requests for information is among the most basic requirements imposed on individuals who choose to work in the regulated securities industry. FINRA's investor protection mission depends on its ability to gather timely, accurate information from the individuals and firms it regulates. When registered persons fail to provide required information — for whatever reason — they impede FINRA's oversight function and may prevent regulators from identifying and addressing potential harm to investors.
Suspension from association with any FINRA member in all capacities means that Kershaw may not perform any functions at a FINRA member firm during the period of suspension. Individuals who are suspended in this manner typically cannot continue to work in the securities industry, accept customer orders, receive commissions, or perform supervisory duties until the deficiency is corrected and the suspension is lifted.
Investors who worked with Kershaw should be aware of this suspension and use FINRA BrokerCheck to monitor his registration status. BrokerCheck provides real-time information about a broker's current registration status and any disciplinary history.