Nana Kwakye-Bissah (LPL Financial) Charged In FINRA Complaint Following Investigation

FINRA brought a complaint against securities broker Nana Kwame Kwakye-Bissah [CRD: 7044974, Washington, District of Columbia], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kwakye-Bissah worked for LPL Financial LLC from July 27, 2023, to October 7, 2024; Fidelity Brokerage Services LLC from May 14, 2020, to June 10, 2023; and Santander Securities LLC from January 1, 2019, to February 10, 2020. Read on to find out more about the disclosures involving Kwakye-Bissah.

FINRA Charged Kwakye-Bissah With Failure To Cooperate

Notably, on March 27, 2025, FINRA initiated Case: 2024083571501 against Nana Kwakye-Bissah. Regulators alleged that Kwakye-Bissah did not cooperate with an investigation into whether he falsified records and took funds from LPL Financial LLC investors. Specifically, FINRA claimed he failed to provide documents or respond to requests for information that were critical to the inquiry. As a result, FINRA has sought to impose sanctions for his lack of compliance.

The investigation began after LPL Financial disclosed in October 2024 that Kwakye-Bissah had been discharged for misconduct. Following this disclosure, FINRA sent two separate written requests for information in October and November 2024. Although records show that the notices were delivered, Kwakye-Bissah did not provide the requested responses. Regulators stated that this failure violated FINRA Rules 8210 and 2010, as it prevented them from obtaining key evidence about the alleged misconduct. The case remains ongoing.

Nana Kwakye-Bissah Terminated For Alleged Misconduct

Evidently, LPL Financial LLC disaffiliated with Kwakye-Bissah on October 2, 2024. Allegedly, Kwakye-Bissah opened a credit union account using a client’s information without the client’s consent, submitted an electronic distribution request without a genuine signature, and executed a distribution without obtaining consent from a client.

Did You Invest With Securities Broker Kwakye-Bissah?

Are you concerned regarding investments you made with Nana Kwakye-Bissah? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. For years, Soreide Law Group has recovered losses for clients throughout the USA. The firm also works by a contingency fee arrangement and advances all costs. Kwakye-Bissah and brokerage firms he worked for deny all accusations referenced in public disclosures.