{"id":11927,"date":"2026-06-05T11:09:57","date_gmt":"2026-06-05T15:09:57","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11927"},"modified":"2026-06-05T11:09:57","modified_gmt":"2026-06-05T15:09:57","slug":"finra-suspends-individuals-for-finra-rules-violations-may-2026","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-for-finra-rules-violations-may-2026\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information May 2026"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
William Kershaw<\/a><\/td>\nNYLife Securities LLC<\/td>\n<\/tr>\n
Ricky Allen McReynolds<\/a><\/td>\nMulti-Bank Securities, Inc.<\/p>\n

Kipling Jones & Co., Ltd.<\/p>\n

Harvestons Securities, Inc.<\/p>\n

The Riderwood Group Incorporated<\/td>\n<\/tr>\n

Fernando Mendez<\/a><\/td>\nLPL Financial LLC<\/p>\n

Edward Jones<\/p>\n

NYLife Securities LLC<\/p>\n

J.P. Morgan Securities LLC<\/td>\n<\/tr>\n

Robert Leroy Metz<\/a><\/td>\nFidelity Brokerage Services LLC<\/td>\n<\/tr>\n
Ryan Mitchell Pigg<\/a><\/td>\n\u00a0Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
Hanspeter Schiegg<\/a><\/td>\nVontobel Securities Ltd.<\/td>\n<\/tr>\n
Keith Wesley Schongar<\/a><\/td>\n\u00a0Empower Financial Services, Inc.<\/p>\n

TD Ameritrade, Inc.<\/p>\n

Scottrade, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for May 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":[588,580],"tags":[],"class_list":["post-11927","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For FINRA Rules Violations May 2026<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 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-individuals-for-finra-rules-violations-may-2026\/\" \/>\n<meta name=\"twitter:card\" 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