Howell willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose an investment-related civil judgment entered against him. Although the judgment was entered in May 2021, it was not disclosed until November 2025. As a result, Howell violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. For this violation, Howell is suspended in all capacities for three months and fined $5,000.

Bridges refused to provide information and documents requested pursuant to FINRA Rule 8210 in connection with an investigation into undisclosed payments that Bridges made to a potential client and to a CIBC employee. As a result, Bridges violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.