Recent FINRA Disciplinary Actions: Broker and Advisor Misconduct Roundup (Mid-May 2026)
Gabriel Hynes, Formerly of Kestra and NYLife, Barred by FINRA After Failing to Comply With Investigation
Spartan Capital and James Pecoraro Accused of Excessive Trading and “Churning” in FINRA Complaint
Investor Alert: Jeffrey Thomas Higgins Charged in Alleged 17-Year Client Fund Misappropriation Scheme
How to Recover Investment Losses Through FINRA Arbitration: The 2026 Investor’s Guide
Broker Alert: Ameriprise Advisor John Pescatore (formerly at Oppenheimer) Facing $200,000 Customer Dispute Over Unauthorized Account Changes
