{"id":12090,"date":"2026-10-14T11:13:39","date_gmt":"2026-10-14T15:13:39","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=12090"},"modified":"2026-10-14T11:13:39","modified_gmt":"2026-10-14T15:13:39","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-september-2026","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-september-2026\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information September 2026"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Amanda Rose Brostek<\/a><\/td>\n\u00a0Key Investment Services LLC<\/p>\n

AXA Advisors LLC<\/p>\n

 <\/td>\n<\/tr>\n

Francis Patrick Cunningham<\/a><\/td>\n\u00a0B. Riley Wealth Management<\/p>\n

International Assets Advisory, LLC<\/p>\n

 <\/td>\n<\/tr>\n

Sean Plunkett<\/td>\n\u00a0No Results<\/p>\n

 <\/td>\n<\/tr>\n

Robert W. Strang III<\/a><\/td>\nNext Financial Group, Inc.<\/p>\n

AXA Advisors LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for September 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-12090","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information September 2026<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 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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