{"id":12074,"date":"2026-10-12T11:45:52","date_gmt":"2026-10-12T15:45:52","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=12074"},"modified":"2026-10-12T11:45:52","modified_gmt":"2026-10-12T15:45:52","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-august-2026","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-august-2026\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information August 2026"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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
Mark William Fowler<\/a><\/td>\n\u00a0Raymond James Financial Services<\/p>\n

WFG Investments, Inc.<\/td>\n<\/tr>\n

Cynthia Marie Barrera<\/a><\/td>\n\u00a0Morgan Stanley Smith Barney<\/p>\n

Morgan Stanley & Co. Incorporated<\/td>\n<\/tr>\n

Robert Anthony Guidicipietro<\/a><\/p>\n

 <\/td>\n

\u00a0Alexander Capital, L.P.<\/p>\n

Arive Capital Markets<\/td>\n<\/tr>\n

Walker Randolph Johnson<\/a><\/td>\nSigma Financial Corporation<\/p>\n

J.P. Turner & Company, L.L.C<\/td>\n<\/tr>\n

Patrick William Lofaro <\/a><\/td>\nRockwell Gloal Capita; LLC<\/p>\n

Dalton Strategic Investment Services Inc.<\/td>\n<\/tr>\n

Keith David Lundhagen<\/a><\/td>\nWells Fargo Clearing Services, LLC<\/p>\n

UBS Financial Services Inc.<\/td>\n<\/tr>\n

Ronald George Palmer Jr.<\/a><\/td>\nEquitable Advisors, LLC<\/p>\n

Macquarie Securities (USA) 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 August 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-12074","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations August 2026<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 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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