Between October 2024 and April 2025, Li willfully failed to timely amend her Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose that she had been charged with two felonies. As a result, Li violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. Li is suspended in all capacities for three months and fined $5,000.

In 2023, while registered with FINRA through an association with Kestra Investment Services, Thomas borrowed $50,000 from a firm customer who was not an immediate family member and without providing prior written notice to or obtaining approval from the firm. As a result, Thomas violated FINRA Rules 3240 and 2010. For these violations, Thomas is suspended for one month and fined $5,000.

Hill refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

The Department of Enforcement alleges: SUMMARY 1. Respondent John Polemis induced a customer he knew to be terminally-ill to lend him $28,000 by pretending he would repay the loans. Not only did he not repay the loans, Polemis additionally traded in the customer’s account in the weeks and months after his death, generating more than $3,000 in commissions. 2. In particular, between May 2022 and April 2024, while registered with FINRA through Park Avenue Securities LLC (CRD No. 46173) and later Stirlingshire Investments (CRD No.