{"id":11891,"date":"2026-02-23T10:46:58","date_gmt":"2026-02-23T15:46:58","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11891"},"modified":"2026-02-23T10:46:58","modified_gmt":"2026-02-23T15:46:58","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information January 2026"},"content":{"rendered":"

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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Edwin Barkhordarian<\/a><\/td>\nRBC Capital Markets LLC<\/td>\n<\/tr>\n
BMO Capital Markets Corp.<\/td>\n<\/tr>\n
Matthew Vernon Brosh<\/p>\n

 <\/td>\n

<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
Michael Robert Greenfield<\/a><\/td>\nGreat Point Capital LLC<\/td>\n<\/tr>\n
Newbridge Securities Corp.<\/td>\n<\/tr>\n
Joseph Kinyanjui<\/a><\/td>\nUBS Financial Services Inc.<\/td>\n<\/tr>\n
Citizens Securities Inc<\/td>\n<\/tr>\n
Ricky Allen McReynolds<\/a><\/td>\nMulti-Bank Securities Inc.<\/td>\n<\/tr>\n
Kipling Jones & Co. Ltd<\/td>\n<\/tr>\n
Joseph Gordon Nelson<\/a><\/td>\nG. A. Repple & Company<\/td>\n<\/tr>\n
Great Point Capital LLC<\/td>\n<\/tr>\n
Andy Okala<\/a><\/td>\nJ.P. Morgan Securities LLC<\/td>\n<\/tr>\n
PFS Investments Inc.<\/td>\n<\/tr>\n
Nathan Reed Waters<\/p>\n

 <\/td>\n

<\/td>\n<\/tr>\n
Michael Joseph Whitaker<\/a><\/td>\nNewbridge Securities Corp.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

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 […]<\/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-11891","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules January 2026<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2026, 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Individuals For Violations Of Rules January 2026\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for January 2026, the following were suspended and cannot work for a brokerage firm.\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Suspends Individuals For Violations Of Rules January 2026","description":"According to FINRA Disciplinary actions for January 2026, the following were suspended and cannot work for a brokerage firm.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/","twitter_card":"summary_large_image","twitter_title":"FINRA Suspends Individuals For Violations Of Rules January 2026","twitter_description":"According to FINRA Disciplinary actions for January 2026, the following were suspended and cannot work for a brokerage firm.","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/","name":"FINRA Suspends Individuals For Violations Of Rules January 2026","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2026-02-23T15:46:58+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for January 2026, the following were suspended and cannot work for a brokerage firm.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-january-2026\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information January 2026"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11891","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=11891"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11891\/revisions"}],"predecessor-version":[{"id":11892,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11891\/revisions\/11892"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=11891"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=11891"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=11891"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}