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Articles Posted in FINRA Disciplinary Actions

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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

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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

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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

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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.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. Continue reading ›

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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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