Kwame Bissah Allegedly Failed to Provide Testimony to FINRA

Kwame Bissah (CRD #: 7044974), a broker formerly registered with LPL Financial, has been investigated by FINRA, according to his BrokerCheck record, accessed on January 18, 2025. Keep reading if you have questions about his alleged conduct as a broker.

FINRA Investigation

On December 20, 2024, FINRA entered a preliminary determination to recommend disciplinary action against Kwame Bissah, alleging that he failed to provide testimony, documents, and information in connection with a FINRA investigation.

FINRA alleged that Kwame Bissah violated FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Termination from LPL Financial

On October 2, 2024, Kwame Bissah was fired from LPL Financial following allegations that he opened a credit union account using a client’s personal information without the client’s authorization, submitted an electronic distribution request with a non-genuine signature, and facilitated an electronic distribution without client approval.

Background Information

Kwame Bissah has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• Series 6TO – Investment Company Products/Variable Contracts Representative Examination
• SIE – Securities Industry Essentials Examination

He previously worked for the following firms:

• LPL Financial (CRD#:6413)
• Fidelity Brokerage Services (CRD#:7784)
• Santander Securities (CRD#:41791)

Kurta Law Can Help

If you worked with Kwame Bissah and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.