In the Matter of Nana Kwame Kwakye-Bissah

Nana Kwame Kwakye-Bissah failed to respond to FINRA requests for documents and information as part of its investigation into his member firm's Uniform Termination Notice for Securities Industry Registration (Form U5) disclosures. According to FINRA, the Form U5 disclosed that the firm had discharged Kwakye-Bissah because he opened a credit union account using a customer's personal information without the customer's knowledge or approval. The Form U5 also stated that Kwakye-Bissah submitted an electronic distribution request containing a non-genuine signature, in violation of firm policy. The Form U5 also stated that Kwakye-Bissah facilitated electronic an distribution without customer approval, in violation of firm policy.

Summary generated from official Financial Industry Regulatory Authority press release