FINRA Bars Nana Kwame Kwakye-Bissah for Failing to Respond to Investigation into Customer Account Misconduct
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 FINRA Case #2024083571501.
Investigation Originated from Form U5 Disclosures
According to FINRA’s findings, the investigation stemmed from disclosures made by Kwakye-Bissah’s member firm in a Uniform Termination Notice for Securities Industry Registration (Form U5).
The Form U5 stated that the firm discharged Kwakye-Bissah after determining that he opened a credit union account using a customer’s personal information without the customer’s knowledge or authorization.
The filing also disclosed that he submitted an electronic distribution request containing a non-genuine signature, in violation of firm policy, and facilitated an electronic distribution without customer approval.
Failure to Respond to FINRA Requests
As part of its investigation into these allegations, FINRA requested documents and information from Kwakye-Bissah.
Under FINRA Rule 8210, registered individuals are required to provide information, documents, and testimony when requested during regulatory investigations. According to the findings, Kwakye-Bissah failed to respond to FINRA’s requests.
Failure to respond to a Rule 8210 request is considered a serious violation because it prevents FINRA from fully investigating potential misconduct and protecting investors.
As a result of his failure to cooperate, Kwakye-Bissah was permanently barred from associating with any FINRA member firm in all capacities.
Risks of Unauthorized Account Activity
Allegations involving the use of customer information without authorization, non-genuine signatures, and unauthorized transactions raise serious concerns about investor protection and account security.
Such conduct, if proven, can expose investors to financial harm and undermine trust in the financial system. FINRA relies on cooperation from registered representatives to investigate and address these risks.
Silver Miller Represents Victims of Broker Misconduct
If you believe a broker used your personal information without authorization, executed transactions without your consent, or engaged in other forms of misconduct, you may have legal options.
Silver Miller represents investors nationwide in claims involving unauthorized transactions, account misuse, identity-related misconduct, and supervisory failures. Our attorneys pursue recovery through FINRA arbitration and civil litigation.
Contact Silver Miller for a free, confidential consultation. We work on a contingency fee basis—meaning you pay nothing unless we recover for you.
