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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for October 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
Travis Price Alexander  Raymond James Financial Services

Ameriprise Financial Services
Mark William Fowler Raymond James Financial Services

WFG Investments, Inc.
Richard A. Harris HSBC Securities (USA) Inc.

Wells Fargo Clearing Services, LLC
Joseph Frank Lauzon LPL Financial LLC

Wachovia Securities, LLC
Dimitrios K. Michelis UBS Financial Services Inc.

J.P. Morgan Securities LLC
Norman Casey Sears Edward Jones

Lincoln Financial Distributors
Humberto David Sirvent Entoro Securities, LLC

Chestnut Exploration Partners

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According to FINRA Disciplinary actions for September 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
Clinton Edmund Galloway  Drum Capital Corp

Private Investors Equity Group

First Street Securities Corp.

 

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According to FINRA Disciplinary actions for September 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
Amanda Rose Brostek  Key Investment Services LLC

AXA Advisors LLC

 
Francis Patrick Cunningham  B. Riley Wealth Management

International Assets Advisory, LLC

 
Sean Plunkett  No Results

 
Robert W. Strang III Next Financial Group, Inc.

AXA Advisors LLC

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According to FINRA Disciplinary actions for September 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
George John Carines Chelsea Financial Services

Wells Fargo Clearing Servies, LLC
Francis Patrick Cunningham B. Riley Wealth Management

International Assets Advisory, LLC
Barrington Edwin Gist LPL Financial LLC

Morgan Stanely
Stephen Ray Quisenberry Oberon Securities, LLC

The Forbes Securities Group
Justin Thaddeus Ranger  Ameriprise Financial Services, LLC

Raymond James & Associates, Inc.

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According to FINRA Disciplinary actions for August 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
David Leslie Arlein  Cabot Lodge Securities LLC

Fintegra, LLC

 

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According to FINRA Disciplinary actions for August 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
Mark William Fowler  Raymond James Financial Services

WFG Investments, Inc.
Cynthia Marie Barrera  Morgan Stanley Smith Barney

Morgan Stanley & Co. Incorporated
Robert Anthony Guidicipietro

 

  Alexander Capital, L.P.

Arive Capital Markets
Walker Randolph Johnson Sigma Financial Corporation

J.P. Turner & Company, L.L.C
Patrick William Lofaro Rockwell Gloal Capita; LLC

Dalton Strategic Investment Services Inc.
Keith David Lundhagen Wells Fargo Clearing Services, LLC

UBS Financial Services Inc.
Ronald George Palmer Jr. Equitable Advisors, LLC

Macquarie Securities (USA) Inc.

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According to FINRA Disciplinary actions for August 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
Francisco M. Gomez  LPL Financial LLC

BBVA Securities Inc.
Chihyu Jerry Hsu  Park Avenue Securities LLC

Northwestern Mutual Investment
Richard A. Harris  HSC Securities (USA) Inc.

Wells Fargo Clearing Services, LLC
Joseph Frank Lauzon  LPL Financial LLC

Wachovia Securities, LLC

 
Dimitrios K. Michelis  US Financial Services Inc.

J.P. Morgan Securities LLC
Michael Montalvo Raymond James & Associates, Inc.

Cetera Investment Services LLC
Antonio Sandoval Wells Fargo Clearing Services, LLC

Chase Investment Services Corp.
John Charles Wilson II  Edward Jones

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According to FINRA Disciplinary actions for July 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
Travis Price Alexander  Raymond James Financial Services

Ameriprise Financial Services
Changxi Ji (CRD #7563608)  Edward jones

Globalink Securities, Inc.

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According to FINRA Disciplinary actions for July 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.

Taderfield Securities Inc.
Eileen Law Cure  LPL Financial LL

HD Vest Investment Services
Randy Cleve Fox  GT Securities, Inc.

Portsmouth Financial Services
James Edward McArthur IBN Financial Services, Inc.

Taderfield Securities Inc.
Brendan Kammerer Oppenheimer & Co. Inc.

Ameriprise Financial Services, LLC
Glenn J Romer Center Street Securities, Inc.

Lincoln Financial Securities
James Keith Cox Newbridge Securities Corporation

Stifel, Nicolaus & Company, Inc.
David Leslie Arlein Cabot Lodge Securities LLC

Fintegra, LLC
Keith David Lundhagen Wells Fargo Clearing Services, LLC

UBS Financial Services Inc.
Ronald George Palmer Equitable Advisors, LLC

Macquarie Securities (USA) Inc.
George John Cairnes Chelsea Financial Services

Wells Fargo Clearing Services, LLC

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According to FINRA Disciplinary actions for July 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
William Kershaw  NYLife Securities LLC
Robert Leroy Metz Fidelity Brokerage Services LLC
Keith Wesley Schongar  Empower Financial Services, Inc.

TD Ameritrade, Inc.

Scottrade, Inc.
Danielle Rose Sonnenberg Innovation Partners LLC

Sloan Securities Corp.

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