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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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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. In 2021, one of Lansing’s clients named him in a life insurance policy with his approval. Lansing failed to seek the required written permission from Cetera to be named as a beneficiary. The client passed away in July of 2024. In September, Lansing received a payment of $50,000 from the life insurance company. Lansing was not related to this customer and did not seek Cetera’s prior approval to receive the funds. In May of 2025, Cetera discovered the payout. Lansing later repaid the sum to the client’s estate at Cetera’s request.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 ›

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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. Ejiro Ode Okuma (CRD# 5774832, also known as “EJ Okuma”) is a former registered broker and investment advisor whose last known employer was Equitable Advisors, LLC (CRD#:6627) of Atlanta, GA. His previous employer was Edward Jones (CRD#:250), also of Atlanta. Additionally, Okuma also owned and operated Okuma Capital Management in Georgia. He has been in the industry since 2010.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 ›

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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. In the petition, the company indicated that it is now wholly owned by Realty Cap Advisors LLC and plans to pursue an asset sale. The company has had considerable obstacles with liquidity. They are also facing potential litigation and regulatory probes. Inspired owns 35 retirement communities across 14 states, housing 2,620 residents, according to a company press release.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 ›

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Investors who want to file a FINRA arbitration and are aged 70 or over or have severe health conditions will soon be able to file a more expedited claim. After March 30, 2026, FINRA rule changes accelerate the process for these claimants. Affidavits or medical records are not needed to request an expedited claim. Only certification of a claimant's health condition is necessary. Once the Director determines a claimant’s eligibility, the claim can proceed.Investors who want to file a FINRA arbitration and are aged 70 or over or have severe health conditions will soon be able to file a more expedited claim.

After March 30, 2026, FINRA rule changes accelerate the process for these claimants. Affidavits or medical records are not needed to request an expedited claim. Only certification of a claimant’s health condition is necessary. Once the Director determines a claimant’s eligibility, the claim can proceed. Continue reading ›

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Jose Abel Gamez (CRD# 4292479) is a former registered broker and investment advisor. His most recent employer was Raymond James Financial Services, Inc. (CRD# 6694) of San Antonio, Texas. His previous employers include Chase Investment Services Corp. (CRD# 25574), LPL Financial LLC (CRD#:6413), USAA Investment Management Company (CRD# 5475), also of San Antonio, and Capital One Investment Services LLC (CRD# 25658) of Round Rock, Texas. He has been in the industry since 2000. Raymond James discharged Gamez on June 25, 2025, after allegations that he misappropriated client funds for personal use. On 8/29/2025, a client filed a dispute requesting “reimbursement of principal and lost market opportunity following FA’s alleged misappropriation of funds.” The client requested damages of $1,863,371.00, and the firm settled the claim for $413,370.18.Jose Abel Gamez (CRD# 4292479) is a former registered broker and investment advisor. His most recent employer was Raymond James Financial Services, Inc. (CRD# 6694) of San Antonio, Texas. His previous employers include Chase Investment Services Corp. (CRD# 25574), LPL Financial LLC (CRD#:6413), USAA Investment Management Company (CRD# 5475), also of San Antonio, and Capital One Investment Services LLC (CRD# 25658) of Round Rock, Texas. He has been in the industry since 2000. Continue reading ›

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