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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 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 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 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 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 |
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 ›
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 |
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 |
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 |
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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