Silver Law Group

04/14/2026

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

According to FINRA Disciplinary actions for March 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
Phillip Curtis Anderson Kingswood Capital Partners, LLC
Niagara International Capital
Wells Fargo Advisors Financial Network, LLC
Merrill Lynch, Pierce, Fenner
Philip Leo Gazzo MCG Securities LLC
Mutual Trust Company of America Securities
Innovation Partners LLC
FNEX Capital, LLC
Luke Lannister Grove Point Investments, LLC
Cuso Financial Services, L. P.
Capital One Investing, LLC
NFP Advisor Services, LLC

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

04/14/2026

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

According to FINRA Disciplinary actions for March 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
Joshua Aaron Dean Merrill Lynch, Pierce, Fenner

USAA Investment Services Company

USAA Financial Advisors, Inc.

TIAA-CREF Individual & Institutional Services, LLC
Patrick Michael Roraff

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

04/14/2026

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

According to FINRA Disciplinary actions for March 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
Edwin Barkhordarian RBC Capital Markets, LLC
BMO Capital Markets Corp.
J.P. Morgan Securities LLC
H2C Securities Inc.
Matthew Vernon Brosh
Michael Robert Greenfield
Great Point Capital LLC
Newbridge Securities Corporation
Oppenheimer & Co. Inc.
Morgan Stanley
Joseph Gordon Nelson G. A. Repple & Company
Great Point Capital LLC
JRL Capital Corporation
Westpark Capital, Inc.
Andy O. Okala
J. P. Morgan Securities LLC
PFS Investments Inc.
Steven A. Pusterla TSG Capital Advisors
Merrill Lynch, Pierce, Fenner
Cetera Financial Specialists LLC
Michael Joseph Whitaker Newbridge Securities Corporation

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

04/06/2026

FINRA Bars Broker Howard Kavinsky After Falsifying Client Accounts

Howard Kavinsky (CRD # 5881623) is a former registered broker and investment advisor last employed with Supreme Alliance LLC (CRD # 45348) of Charlotte, NC. His previous employers include B. Riley Wealth Management (CRD # 2543) and National Securities Corporation (CRD # 7569), both in Chicago, and David A. Noyes & Company (CRD # 205) of Miami, FL. He has been in the industry since 2011.

During his tenure with B. Riley and its predecessor National Securities Corporation, Kavinsky prepared consolidated account statements for his customers. Many of his customers were seniors, and these consolidated statements provided them with an overview of their financial holdings.
https://www.silverlaw.com/blog/finra-bars-broker-howard-kavinsky-after-falsifying-client-accounts/

03/04/2026

Silver Law Group investigates Goliath Ventures Alleged Ponzi Scheme Chris Delgado, Goliath’s Principal Arrested And Charged For Alleged $328M Fraud

The United States Attorney’s office for the Middle District of Florida has announced the arrest of Christopher Alexander Delgado for wire fraud and money laundering related Goliath Ventures, an alleged cryptocurrency Ponzi scheme. If convicted on both counts, Delgado faces a maximum penalty of 30 years in prison.
https://www.silverlaw.com/blog/silver-law-group-investigates-goliath-ventures-alleged-ponzi-scheme-chris-delgado-goliaths-principal-arrested-and-charged-for-alleged-328m-fraud/

02/23/2026

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

According to FINRA Disciplinary actions for February 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
Vincent Jerome Camarda IBN Financial Services, Inc.
Traderfield Securities Inc.
Federico Cardona Stonecrest Advisors
Morgan Stanley
Elmer Richard Ferguson Triad Advisors LLC
MMA Securities LLC
James Edward McArthur IBN Financial Services LLC
Traderfield Securities Inc.
Jonathan J. Tuoti Morgan Stanley Smith Barney
UBS Financial Services Inc.
Gino Wang Equitable Advisors LLC
MML Investors Services LLC
Taiwo Wiley Wells Fargo Clearing Servcies LLC
Merrill Lynch Pierce Fenner

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

02/23/2026

FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information February 2026

According to FINRA Disciplinary actions for January 2026, the following individuals were suspended 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
NAME FORMER EMPLOYERS
Jeremy Matthew Benson NYLife Securities LLC
Nafissa Diallo Wells Fargo Clearing Services LLC

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

02/23/2026

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

According to FINRA Disciplinary actions for February 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
Lauren Elizabeth Durand
Christian Yavier Gomez Brooklight Place Securities, Inc.
NYLife Securities LLC
Angela Danee Maynard Merrill Lynch, Pierce, Fenner & Smith Inc.
Richard James Wick Northwestern Mutual Investment

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

02/23/2026

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

According to FINRA Disciplinary actions for January 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
Michael David Arroyos Valic Financial Advisors, Inc.
Wells Fargo Investments, LLC
Gerald John Cocuzzo Newbridge Securities Corporation
IAA Financial LLC
Ira Reichstein Wells Fargo Clearing Services
Morgan Stanley
William Hohill Song LPL Financial LLC
Wells Fargo Clearing Services

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

02/23/2026

FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information January 2026

According to FINRA Disciplinary actions for January 2026, the following individuals were suspended 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
NAME FORMER EMPLOYERS
Edwin Barkhordarian RBC Capital Markets LLC
BMO Capital Markets Corp.
Matthew Vernon Brosh
Michael Robert Greenfield Great Point Capital LLC
Newbridge Securities Corp.
Joseph Kinyanjui UBS Financial Services Inc.
Citizens Securities Inc
Ricky Allen McReynolds Multi-Bank Securities Inc.
Kipling Jones & Co. Ltd
Joseph Gordon Nelson G. A. Repple & Company
Great Point Capital LLC
Andy Okala J.P. Morgan Securities LLC
PFS Investments Inc.
Nathan Reed Waters
Michael Joseph Whitaker Newbridge Securities Corp.

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