{"id":11969,"date":"2026-06-18T12:50:36","date_gmt":"2026-06-18T16:50:36","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11969"},"modified":"2026-06-18T12:50:36","modified_gmt":"2026-06-18T16:50:36","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-june-2026","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-june-2026\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information June 2026"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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
Clinton Edmund Galloway<\/a><\/td>\nDrum Capital Corp<\/p>\n

Private Investors Equity Group<\/p>\n

First Street Securities Corp.<\/td>\n<\/tr>\n

Francisco M. Gomez<\/a><\/td>\n\u00a0LPL Financial LLC<\/p>\n

BBVA Securities Inc.<\/td>\n<\/tr>\n

Chihyu Jerry Hsu<\/a><\/td>\nPark Avenue Securities LLC<\/p>\n

Northwestern Mutual Investments<\/p>\n

Morgan Stanley<\/td>\n<\/tr>\n

Jesse D. Krapf<\/a><\/td>\nSpartan Capital Securities, LLC<\/p>\n

Benchmark Investments, Inc.<\/p>\n

Newbridge Securities Corporation<\/td>\n<\/tr>\n

William David Miller<\/a><\/td>\n\u00a0Osaic Wealth, Inc.<\/p>\n

Osaic FS, Inc.<\/p>\n

Woodbury Financial Services, Inc.<\/td>\n<\/tr>\n

William Hohill Song<\/a><\/td>\nLPL Financial LLC<\/p>\n

Wells Fargo Clearing Services, LLC<\/p>\n

Citigroup Global Markets Inc.<\/td>\n<\/tr>\n

William Bernard Tunink<\/a><\/td>\nLPL Financial LLC<\/p>\n

Avantax Investment Services, 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 June 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-11969","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations June 2026<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2026, the following individuals 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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