{"id":11840,"date":"2026-01-07T12:45:36","date_gmt":"2026-01-07T17:45:36","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11840"},"modified":"2026-01-07T12:45:36","modified_gmt":"2026-01-07T17:45:36","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-december-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-december-2025\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information December 2025"},"content":{"rendered":"<p>According to FINRA Disciplinary actions for December 2025, 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:<\/p>\n<table border=\"x\" width=\"623\">\n<tbody>\n<tr>\n<td width=\"311\"><strong>NAME<\/strong><\/td>\n<td width=\"312\"><strong>FORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"311\"><a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5740603\" target=\"_blank\">Christian Yavier Gomez<\/a><\/td>\n<td width=\"312\">Brooklight Place Securities Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">NYLife Securities LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"311\"><a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6818846\" target=\"_blank\">Steven A. Pusterla<\/a><\/p>\n<p>&nbsp;<\/td>\n<td width=\"312\">TSG Capital Advisors<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">Merrill Lynch, Pierce Fenner &amp; Smith Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"311\"><a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6248114\" target=\"_blank\">Richard James Wick<\/a><\/td>\n<td width=\"312\">Northwestern Mutual Investment<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<p> <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-december-2025\/#more-11840\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>According to FINRA Disciplinary actions for December 2025, 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 [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11840","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Suspends Individuals Rules Violations December 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2025, the following were suspended and cannot work for a brokerage firm.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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