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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for February 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.
Federico Cardona Stonecrest Advisors
Morgan Stanley
Elmer Richard Ferguson Triad Advisors LLC
MMA Securities LLC
James Edward McArthur IBN Financial Services LLC
Traderfield Securities Inc.
Jonathan J. Tuoti Morgan Stanley Smith Barney
UBS Financial Services Inc.
Gino Wang Equitable Advisors LLC
MML Investors Services LLC
Taiwo Wiley Wells Fargo Clearing Servcies LLC
Merrill Lynch Pierce Fenner

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According to FINRA Disciplinary actions for January 2026, the following individuals were suspended 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
Jeremy Matthew Benson NYLife Securities LLC
Nafissa Diallo  Wells Fargo Clearing Services LLC

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According to FINRA Disciplinary actions for February 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
Lauren Elizabeth Durand
Christian Yavier Gomez Brooklight Place Securities, Inc.
NYLife Securities LLC
Angela Danee Maynard Merrill Lynch, Pierce, Fenner & Smith Inc.
Richard James Wick Northwestern Mutual Investment

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According to FINRA Disciplinary actions for January 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
Michael David Arroyos Valic Financial Advisors, Inc.
Wells Fargo Investments, LLC
Gerald John Cocuzzo Newbridge Securities Corporation
IAA Financial LLC
Ira Reichstein Wells Fargo Clearing Services
Morgan Stanley
William Hohill Song LPL Financial LLC
Wells Fargo Clearing Services

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According to FINRA Disciplinary actions for January 2026, the following individuals were suspended 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
Edwin Barkhordarian RBC Capital Markets LLC
BMO Capital Markets Corp.
Matthew Vernon Brosh

 
Michael Robert Greenfield Great Point Capital LLC
Newbridge Securities Corp.
Joseph Kinyanjui UBS Financial Services Inc.
Citizens Securities Inc
Ricky Allen McReynolds Multi-Bank Securities Inc.
Kipling Jones & Co. Ltd
Joseph Gordon Nelson G. A. Repple & Company
Great Point Capital LLC
Andy Okala J.P. Morgan Securities LLC
PFS Investments Inc.
Nathan Reed Waters

 
Michael Joseph Whitaker Newbridge Securities Corp.

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According to FINRA Disciplinary actions for January 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
Federico Gonzalez Oppenheimer & Co. Inc.
Truist Investment Services Inc.
Austin Matthew Martinez TIAA-CREF Individual & Institutional Services, LLC
Bernie Mohar UBS Financial Services Inc.
Merrill Lynch, Pierce, Fenner & Smith Inc.
Kathleen Rashleigh UBS Financial Services Inc.
Merrill Lynch, Pierce, Fenner & Smith Inc.
Michael Lee Young Jr. LPL Financial LLC
Commonwealth Financial Network

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Thomas Lansing (CRD# 5920861) is a broker and investment advisor currently registered with Cetera Financial Specialists LLC (CRD# 10358) of Greenwich, NY. Previously, he was registered with and employed by Equity Services, Inc. (CRD# 265) of Burnt Hills, NY, and MSI Financial Services, Inc. (CRD# 14251) of Latham, NY. He has been in the industry since 2011. In 2021, one of Lansing’s clients named him in a life insurance policy with his approval. Lansing failed to seek the required written permission from Cetera to be named as a beneficiary. The client passed away in July of 2024. In September, Lansing received a payment of $50,000 from the life insurance company. Lansing was not related to this customer and did not seek Cetera’s prior approval to receive the funds. In May of 2025, Cetera discovered the payout. Lansing later repaid the sum to the client’s estate at Cetera’s request.Thomas Lansing (CRD# 5920861) is a broker and investment advisor currently registered with Cetera Financial Specialists LLC (CRD# 10358) of Greenwich, NY. Previously, he was registered with and employed by Equity Services, Inc. (CRD# 265) of Burnt Hills, NY, and MSI Financial Services, Inc. (CRD# 14251) of Latham, NY. He has been in the industry since 2011. Continue reading ›

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Jose Abel Gamez (CRD# 4292479) is a former registered broker and investment advisor. His most recent employer was Raymond James Financial Services, Inc. (CRD# 6694) of San Antonio, Texas. His previous employers include Chase Investment Services Corp. (CRD# 25574), LPL Financial LLC (CRD#:6413), USAA Investment Management Company (CRD# 5475), also of San Antonio, and Capital One Investment Services LLC (CRD# 25658) of Round Rock, Texas. He has been in the industry since 2000. Raymond James discharged Gamez on June 25, 2025, after allegations that he misappropriated client funds for personal use. On 8/29/2025, a client filed a dispute requesting “reimbursement of principal and lost market opportunity following FA’s alleged misappropriation of funds.” The client requested damages of $1,863,371.00, and the firm settled the claim for $413,370.18.Jose Abel Gamez (CRD# 4292479) is a former registered broker and investment advisor. His most recent employer was Raymond James Financial Services, Inc. (CRD# 6694) of San Antonio, Texas. His previous employers include Chase Investment Services Corp. (CRD# 25574), LPL Financial LLC (CRD#:6413), USAA Investment Management Company (CRD# 5475), also of San Antonio, and Capital One Investment Services LLC (CRD# 25658) of Round Rock, Texas. He has been in the industry since 2000. Continue reading ›

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Eric Brian Kleiner (CRD# 4135180) is a previously registered broker and investment advisor, last employed with Morgan Stanley (CRD# 149777) of New York, New York. Previously, he was employed by Wells Fargo Advisors, LLC (CRD# 19616) and Prudential Securities, Inc. (CRD# 7471), both based in New York. He has been in the industry since 2000. Morgan Stanley discharged Kleiner on 3/18/2025 after allegations of “recommendations to customers of non-firm approved and firm restricted investments, including ones in which Mr. Kleiner was also invested, failure to fully disclose outside investment, and use of personal device to engage in unauthorized disclosure of confidential, internal use only Firm information.” The allegations stem from seven customer disputes filed between April 16, 2025, and December 5, 2025, with similar claims of investment strategies that were not authorized by Morgan Stanley or in the clients' best interests. One dispute includes a request for damages of $400,000. All seven disputes are currently pending.Eric Brian Kleiner (CRD# 4135180) is a previously registered broker and investment advisor, last employed with Morgan Stanley (CRD# 149777) of New York, New York. Previously, he was employed by Wells Fargo Advisors, LLC (CRD# 19616) and Prudential Securities, Inc. (CRD# 7471), both based in New York. He has been in the industry since 2000. Continue reading ›

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Sean T. Sullivan (CRD#: 6283466) is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado. His previous employers were Spartan Capital Securities, LLC (CRD#:146251) of Garden City, New York, Aegis Capital Corp. (CRD#:15007) of Melville, New York, and Joseph Stone Capital L.L.C. (CRD#:159744) of Hauppauge, New York. He has been in the industry since 2014. Sullivan’s CRD contains 11 disclosures, including 9 customer disputes. The most recent disclosure is a disciplinary action by FINRA related to Sullivan’s time at Aegis. During his tenure at Aegis, Sullivan placed 14 unauthorized trades in the non-discretionary accounts of four customers, who were all over the age of 60 and had a collective account value of $250,000. He neither contacted these customers nor obtained their permission to make these transactions on their behalf. The firm reversed the trades for three of the customers while the fourth filed a complaint with a state regulator, closed his account and transferred his holdings to a different broker-dealer. The FINRA disciplinary action is currently “pending.”Sean T. Sullivan (CRD#: 6283466) is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado. His previous employers were Spartan Capital Securities, LLC (CRD#:146251) of Garden City, New York, Aegis Capital Corp. (CRD#:15007) of Melville, New York, and Joseph Stone Capital L.L.C. (CRD#:159744) of Hauppauge, New York. He has been in the industry since 2014. Continue reading ›

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