Securities Arbitration Lawyers Blog
FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information May 2026
According to FINRA Disciplinary actions for May 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 |
| William Kershaw | NYLife Securities LLC |
| Ricky Allen McReynolds | Multi-Bank Securities, Inc.
Kipling Jones & Co., Ltd. Harvestons Securities, Inc. The Riderwood Group Incorporated |
| Fernando Mendez | LPL Financial LLC
Edward Jones NYLife Securities LLC J.P. Morgan Securities LLC |
| Robert Leroy Metz | Fidelity Brokerage Services LLC |
| Ryan Mitchell Pigg | Charles Schwab & Co., Inc. |
| Hanspeter Schiegg | Vontobel Securities Ltd. |
| Keith Wesley Schongar | Empower Financial Services, Inc.
TD Ameritrade, Inc. Scottrade, Inc. |
Howard Kavinsky (CRD# 
Tampa-based RAD Diversified REIT (real estate investment trust) has filed for federal Chapter 11 bankruptcy protection, with the intent to liquidate and wind-down the company’s operations. Founders and online influencers Brandon “Dutch” Mendenhall and Amy Vaughn claim that Florida’s investigation, an SEC action, and a separate lawsuit from a talk show host damaged RAD’s reputation and its ability to raise capital. The founders also claim that a subpoena from the Florida’s Attorney General’s Office as another reason the company is inhibited from raising capital.