FINRA Disciplinary Actions

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

October 21, 2026 | Silver Law Group

According to FINRA Disciplinary actions for October 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
Shaunt Krikor Anserlian	J.P. Morgan Securities LLC
Brandon Michael Bauerle	Cetera Investment Services LLC Edward Jones
Paul D. Kassel	Merrill Lync, Pierce, Fenner Dean Witter Reynolds Inc.
Steven John Meyer	IBN Financial Services, Inc. Bournehill Investment Services

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

October 21, 2026 | Silver Law Group

According to FINRA Disciplinary actions for October2026, 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
Eugene F. Bartley	J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner
Olivier Reedje Marcelin	TIAA-CREF Individual & Institution Equitable Advisors, LLC
Robert Telford Norton	Wells Fargo Advisors Financial Merrill Lynch, Pierce, Fenner
George Terlizzi	Arkadios Capital Kalos Capital, Inc.

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

October 20, 2026 | Silver Law Group

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

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

October 14, 2026 | Silver Law Group

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.

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

October 14, 2026 | Silver Law Group

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

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

October 14, 2026 | Silver Law Group

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.

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

October 12, 2026 | Silver Law Group

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

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

October 12, 2026 | Silver Law Group

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.

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

October 12, 2026 | Silver Law Group

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

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

August 7, 2026 | Silver Law Group

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.