A National Securities Arbitration & Investment Fraud Law Firm
The United States Attorney’s office for the Middle District of Florida has announced the arrest of Christopher Alexander Delgado for wire fraud and money laundering related Goliath Ventures, an alleged cryptocurrency Ponzi scheme. If convicted on both counts, Delgado faces a maximum penalty of 30 years in prison. 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 |
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
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| 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
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| Michael Joseph Whitaker | Newbridge Securities Corp. |
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 |
Thomas Lansing (CRD# 5920861) is a broker and investment advisor currently registered with Cetera Financial Specialists LLC (CRD# 10358) of Greenwich, NY. Previously, he was registered with and employed by Equity Services, Inc. (CRD# 265) of Burnt Hills, NY, and MSI Financial Services, Inc. (CRD# 14251) of Latham, NY. He has been in the industry since 2011. Continue reading ›
After allegedly misappropriating over $9 million from an elderly client to finance a high-dollar lifestyle, Smyrna, Georgia-based Ejiro Okuma has agreed to pay the U.S. Securities and Exchange Commission a sum of more than $13 million, including a civil penalty of $3 million. Continue reading ›
Scottsdale, Arizona-based Inspired Healthcare Capital, a private equity investor focused on senior living, housing, and development, has filed for Chapter 11 bankruptcy protection in the Northern District of Texas. Over 160 of Inspired’s affiliates have also filed for Chapter 11 protection. The court filings indicate that this compendium of debtors listed liabilities of between $1 billion and $10 billion. Continue reading ›
Securities Arbitration Lawyers Blog