{"id":11915,"date":"2026-04-14T12:38:33","date_gmt":"2026-04-14T16:38:33","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11915"},"modified":"2026-04-14T12:38:33","modified_gmt":"2026-04-14T16:38:33","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-march-2026","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-march-2026\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information March 2026"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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:<\/p>\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Joshua Aaron Dean<\/a><\/td>\nMerrill Lynch, Pierce, Fenner<\/p>\n

USAA Investment Services Company<\/p>\n

USAA Financial Advisors, Inc.<\/p>\n

TIAA-CREF Individual & Institutional Services, LLC<\/td>\n<\/tr>\n

Patrick Michael Roraff<\/td>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for March 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 […]<\/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-11915","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Rules March 2026<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2026, the following were suspended and currently 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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