Silver Law Group

06/05/2026

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2026

According to FINRA Disciplinary actions for May 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
NAME FORMER EMPLOYERS
Joshua Aaron Dean Merrill Lynch, Pierce, Fenner

USAA Investment Services Company

USAA Financial Advisors, Inc.

TIAA-CREF Individual & Institutional Services LLC
TD Ameritrade, Inc.

Charles Schwab & Co., Inc.


Joseph Gordon Nelson G.A. Repple & Company

Great Point Capital LLC

JRL Capital Corporation

Westpark Capital, Inc.

Newport Coast Securities, Inc.

Investors Capital Corp.

According to FINRA Disciplinary actions for May 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with ...

06/05/2026

FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information May 2026

According to FINRA Disciplinary actions for May 2026, the following individuals were suspended from FINRA and currently cannot work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
NAME FORMER EMPLOYERS
William Kershaw NYLife Securities LLC
Ricky Allen McReynolds Multi-Bank Securities, Inc.

Kipling Jones & Co., Ltd.

Harvestons Securities, Inc.

The Riderwood Group Incorporated
Fernando Mendez LPL Financial LLC

Edward Jones

NYLife Securities LLC

J.P. Morgan Securities LLC
Robert Leroy Metz Fidelity Brokerage Services LLC
Ryan Mitchell Pigg Charles Schwab & Co., Inc.
Hanspeter Schiegg Vontobel Securities Ltd.
Keith Wesley Schongar Empower Financial Services, Inc.

TD Ameritrade, Inc.

Scottrade, Inc.

According to FINRA Disciplinary actions for May 2026, the following individuals were suspended from FINRA and currently cannot work for a FINRA brokerage firm for failing to provide FINRA with ...

06/05/2026

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May 2026

According to FINRA Disciplinary actions for May 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
NAME FORMER EMPLOYERS
Vincent Jerome Camarda IBN Financial Services, Inc.

Traderfield Securities Inc.

American Portfolios Financial Services, Inc.

LPL Financial LLC
Brian Ariel Chicas NYLife Securities LLC
Timothy James Gardner Ameriprise Financial Services, LLC

IDS Life Insurance Company

PFS Investments Inc.
James Edward McArthur IBN Financial Services, Inc.

Traderfield Securities Inc.

American Portfolios Financial Services, Inc.

LPL Financial LLC
Brendan Kammerer Ameriprise Financial Services, LLC

Oppenheimer & Co. Inc.

Wells Fargo Clearing Services, LLC

Credit Suisse Securities (USA) LLC
Glenn J Romer Center Street Securities, Inc.

Lincoln Financial Securities Corporation
James Keith Cox Newbridge Securities Corporation

Stifel, Nicolaus & Company, Incorporated

Sterne, Agee & Leach, Inc.

Stanford Group Company
Eileen Law Cure LPL Financial LLC

HD Vest Investment Services

Investment Management & Research, Inc.

Merrill Lynch, Pierce, Fenner
Randy Cleve Fox GT Securities, Inc.

Portsmouth Financial Services

Charles Schwab & Co., Inc.

Atel Securities Corporation

According to FINRA Disciplinary actions for May 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to ...

06/04/2026

FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information April 2026

According to FINRA Disciplinary actions for May 2026, the following individuals were suspended from FINRA and currently cannot work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
NAME FORMER EMPLOYERS
Eugene W. Antosh Amerirprise Financial Services, LLC

Edward Jones

Metlife Investors Distributions
Carolyn Marie Dammeyer W&S Brokerage Services, Inc.
Matthew Adam North Jackson National Life Distribution

Geneos Wealth Management, Inc.

Scottrade, Inc.

Sammons Securities Company, LLC

Sigma Financial Corporation
Danielle Rose Sonnenberg Innovation Partners LLC

Sloan Securities Corp.

According to FINRA Disciplinary actions for May 2026, the following individuals were suspended from FINRA and currently cannot work for a FINRA brokerage firm for failing to provide FINRA with ...

06/04/2026

FINRA Bars Stockbrokers for Failing to Provide FINRA With Information April 2026

According to FINRA Disciplinary actions for May 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
NAME FORMER EMPLOYERS
Jeremy Matthew Benson Nylife Securities LLC
Nafissa Diallo Wells Fargo Clearing Services, LLC

According to FINRA Disciplinary actions for May 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with ...

06/04/2026

FINRA Suspends Stockbrokers for Failing to Comply with FINRA Arbitration Award or Settlement Agreement April 2026

According to FINRA Disciplinary actions for April 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
NAME FORMER EMPLOYERS
Maher Dabbouseh Edward Jones
Adam Scott Kaplan Merrill Lynch, Pierce, Fenner

Morgan Stanley
Daniel Evan Kaplan Merrill Lynch, Pierce, Fenner

Morgan Stanley
Sean Patrick McCrory Morgan Stanley

J.P. Morgan Securities LLC
Drew Matthew Peacock Ameriprise Financial Services, LLC

Edward Jones

According to FINRA Disciplinary actions for April 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant ...

04/14/2026

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement March 2026

According to FINRA Disciplinary actions for March 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
NAME FORMER EMPLOYERS
Phillip Curtis Anderson Kingswood Capital Partners, LLC
Niagara International Capital
Wells Fargo Advisors Financial Network, LLC
Merrill Lynch, Pierce, Fenner
Philip Leo Gazzo MCG Securities LLC
Mutual Trust Company of America Securities
Innovation Partners LLC
FNEX Capital, LLC
Luke Lannister Grove Point Investments, LLC
Cuso Financial Services, L. P.
Capital One Investing, LLC
NFP Advisor Services, LLC

According to FINRA Disciplinary actions for March 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant ...

04/14/2026

FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information March 2026

According to FINRA Disciplinary actions for March 2026, the following individuals were suspended from FINRA and currently cannot work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
NAME FORMER EMPLOYERS
Joshua Aaron Dean Merrill Lynch, Pierce, Fenner

USAA Investment Services Company

USAA Financial Advisors, Inc.

TIAA-CREF Individual & Institutional Services, LLC
Patrick Michael Roraff

According to FINRA Disciplinary actions for March 2026, the following individuals were suspended from FINRA and currently cannot work for a FINRA brokerage firm for failing to provide FINRA with ...

04/14/2026

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2026

According to FINRA Disciplinary actions for March 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
NAME FORMER EMPLOYERS
Edwin Barkhordarian RBC Capital Markets, LLC
BMO Capital Markets Corp.
J.P. Morgan Securities LLC
H2C Securities Inc.
Matthew Vernon Brosh
Michael Robert Greenfield
Great Point Capital LLC
Newbridge Securities Corporation
Oppenheimer & Co. Inc.
Morgan Stanley
Joseph Gordon Nelson G. A. Repple & Company
Great Point Capital LLC
JRL Capital Corporation
Westpark Capital, Inc.
Andy O. Okala
J. P. Morgan Securities LLC
PFS Investments Inc.
Steven A. Pusterla TSG Capital Advisors
Merrill Lynch, Pierce, Fenner
Cetera Financial Specialists LLC
Michael Joseph Whitaker Newbridge Securities Corporation

According to FINRA Disciplinary actions for March 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with ...

04/06/2026

FINRA Bars Broker Howard Kavinsky After Falsifying Client Accounts

Howard Kavinsky (CRD # 5881623) is a former registered broker and investment advisor last employed with Supreme Alliance LLC (CRD # 45348) of Charlotte, NC. His previous employers include B. Riley Wealth Management (CRD # 2543) and National Securities Corporation (CRD # 7569), both in Chicago, and David A. Noyes & Company (CRD # 205) of Miami, FL. He has been in the industry since 2011.

During his tenure with B. Riley and its predecessor National Securities Corporation, Kavinsky prepared consolidated account statements for his customers. Many of his customers were seniors, and these consolidated statements provided them with an overview of their financial holdings.
https://www.silverlaw.com/blog/finra-bars-broker-howard-kavinsky-after-falsifying-client-accounts/