Silver Law Group

10/14/2026

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2026

According to FINRA Disciplinary actions for September 2026, the following individuals were barred from FINRA and cannot currently 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:
NAME FORMER EMPLOYERS
Clinton Edmund Galloway Drum Capital Corp

Private Investors Equity Group

First Street Securities Corp.

According to FINRA Disciplinary actions for September 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with ...

10/14/2026

FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information September 2026

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:
NAME FORMER EMPLOYERS
Amanda Rose Brostek Key Investment Services LLC

AXA Advisors LLC


Francis Patrick Cunningham B. Riley Wealth Management

International Assets Advisory, LLC


Sean Plunkett No Results


Robert W. Strang III Next Financial Group, Inc.

AXA Advisors LLC

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 ...

10/14/2026

FINRA Suspends Stockbrokers for Failing to Comply with FINRA Arbitration Award or Settlement Agreement September 2026

According to FINRA Disciplinary actions for September 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
NAME FORMER EMPLOYERS
George John Carines Chelsea Financial Services

Wells Fargo Clearing Servies, LLC
Francis Patrick Cunningham B. Riley Wealth Management

International Assets Advisory, LLC
Barrington Edwin Gist LPL Financial LLC

Morgan Stanely
Stephen Ray Quisenberry Oberon Securities, LLC

The Forbes Securities Group
Justin Thaddeus Ranger Ameriprise Financial Services, LLC

Raymond James & Associates, Inc.

According to FINRA Disciplinary actions for September 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement ...

10/12/2026

FINRA Bars Broker Eric Brian Kleiner After Unsuitable Recommendations And Selling Away

Eric Brian Kleiner (CRD # 4135180) is a previously registered broker and investment advisor, last employed with Morgan Stanley (CRD # 149777) of New York, New York. Previously, he was employed by Wells Fargo Advisors, LLC (CRD # 19616) and Prudential Securities, Inc. (CRD # 7471), both based in New York. He has been in the industry since 2000.

Morgan Stanley discharged Kleiner on 3/18/2025 after allegations of “recommendations to customers of non-firm approved and firm restricted investments, including ones in which Mr. Kleiner was also invested, failure to fully disclose outside investment, and use of personal device to engage in unauthorized disclosure of confidential, internal use only Firm information.”
https://www.silverlaw.com/blog/finra-bars-broker-eric-brian-kleiner-after-unsuitable-recommendations-and-selling-away/

10/12/2026

Deceased Broker Michael Graham Subject Of Nine Customer Disputes Totaling $864K

Michael Graham (Michael Clifford Graham CRD # 3263494) was a broker and investment advisor last employed with LPL Financial (CRD # 6413) of El Paso, TX. He was previously employed with Principal Securities, Inc. (CRD # 1137) and Securian Financial Services, Inc. (CRD # 15296), also of El Paso.

LPL Financial Services discharged Graham on 06/06/2025 alleging, “Failed to disclose and receive prior approval for participation in a prohibited outside business activity; participated in and directed clients to private investments.”
https://www.silverlaw.com/blog/deceased-broker-michael-graham-subject-of-nine-customer-disputes-totaling-864k/

10/12/2026

AARP Study Shows Financial Exploitation And Fraud Costs US Seniors $28.3 Billion

Broker Clarice Saw Barred After SEC Charges Of EFE

In 2023, Americans over 60 lost upwards of $28.3 billion, according to a study from the American Association of Retired Persons (AARP). Of that figure, 72% comes from “known others,” or someone the individual knows, including family, friends, care workers, financial representatives, and others. The remaining 28%, totaling $8 billion, is fraud and theft by strangers.
https://www.silverlaw.com/blog/aarp-study-shows-financial-exploitation-and-fraud-costs-us-seniors-28-3-billion/

10/12/2026

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2026

According to FINRA Disciplinary actions for August 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
NAME FORMER EMPLOYERS
David Leslie Arlein Cabot Lodge Securities LLC

Fintegra, LLC

According to FINRA Disciplinary actions for August 2026, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant ...

10/12/2026

FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure To Provide Information August 2026

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:
NAME FORMER EMPLOYERS
Mark William Fowler Raymond James Financial Services

WFG Investments, Inc.
Cynthia Marie Barrera Morgan Stanley Smith Barney

Morgan Stanley & Co. Incorporated
Robert Anthony Guidicipietro


Alexander Capital, L.P.

Arive Capital Markets
Walker Randolph Johnson Sigma Financial Corporation

J.P. Turner & Company, L.L.C
Patrick William Lofaro Rockwell Gloal Capita; LLC

Dalton Strategic Investment Services Inc.
Keith David Lundhagen Wells Fargo Clearing Services, LLC

UBS Financial Services Inc.
Ronald George Palmer Jr. Equitable Advisors, LLC

Macquarie Securities (USA) Inc.

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 ...

10/12/2026

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2026

According to FINRA Disciplinary actions for August 2026, the following individuals were barred from FINRA and cannot currently 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:
NAME FORMER EMPLOYERS
Francisco M. Gomez LPL Financial LLC

BBVA Securities Inc.
Chihyu Jerry Hsu Park Avenue Securities LLC

Northwestern Mutual Investment
Richard A. Harris HSC Securities (USA) Inc.

Wells Fargo Clearing Services, LLC
Joseph Frank Lauzon LPL Financial LLC

Wachovia Securities, LLC


Dimitrios K. Michelis US Financial Services Inc.

J.P. Morgan Securities LLC
Michael Montalvo Raymond James & Associates, Inc.

Cetera Investment Services LLC
Antonio Sandoval Wells Fargo Clearing Services, LLC

Chase Investment Services Corp.
John Charles Wilson II Edward Jones

According to FINRA Disciplinary actions for August 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with ...

09/02/2026

J. Alden Associates Investors May Have Claims Involving Lasater Brothers and KeyCity Capital Real Estate Investments

Silver Law Group is investigating potential claims on behalf of investors who purchased KeyCity Capital and Lasater Capital private placements and other alternative investments through brokerage firm J. Alden Associates, Inc. and registered representatives Stephen Douglas Patterson Jr. and Nathan Daniel Goad. Investments include, but are not limited to:

KeyCity Capital Fund I
KX Wealth Fund I
KCAP RE Fund II
KCAP RE Fund III
KCAP RE Fund XI
KCAP RE Fund XII
KCAP Meadows at Ferguson
KCAP Dominik
KCAP Holleman Oaks
KCAP Villa Gardens
KCAP Lending Fund IV
KCAP Lending Fund XIII
KCAP Hive Funding
KCAP TX College Station 4

https://www.silverlaw.com/blog/j-alden-associates-investors-may-have-claims-involving-lasater-brothers-and-keycity-capital-real-estate-investments/