Brian Pavelko Of NI Advisors Barred By FINRA For Failure To Cooperate

Financial Industry Regulatory Authority (FINRA) barred securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California], according to information disclosed through BrokerCheck. Pavelko worked for SW Financial from September 20, 2018, to March 3, 2022, and NI Advisors from March 13, 2022, to December 23, 2025. Investors are encouraged to continue reading to learn more about Pavelko’s disclosures.

Pavelko Resigned From NI Advisors After Private Placement Allegations

NI Advisors reported that Pavelko voluntarily resigned on December 23, 2025, following previously disclosed allegations connected with FINRA Case No. 2020066757804.

According to the employment separation disclosure, FINRA made a preliminary determination on September 10, 2024, to recommend disciplinary action against Pavelko. FINRA alleged that he potentially made material misrepresentations and omissions and engaged in a deceptive scheme involving private placement offerings.

Pavelko potentially helped source and manage private placement offerings while associated with SW Financial. Beginning in January 2020, he was also affiliated with Tranquillum Capital Advisors, an outside business activity that sourced private placements for possible sale through SW Financial.

The employment disclosure also referenced alleged misrepresentations and omissions concerning unemployment insurance benefits and an alleged failure to provide records and information requested by FINRA.

FINRA Sanctioned Brian Pavelko For Noncompliance In Investigation

Particularly, on June 17, 2026, FINRA issued Case No. 2020066757804 sanctioning Brian Pavelko. Specifically, the Hearing Panel barred Pavelko from associating with any FINRA member firm in any capacity. Notably, FINRA alleged that Pavelko failed to provide documents and information requested under FINRA Rule 8210.

FINRA Issued Four Information Requests

FINRA sent Pavelko four requests dated November 28, 2023, February 13, 2024, August 13, 2024, and August 21, 2024. The requests sought documents and explanations relevant to FINRA’s investigation.

Pavelko, through his lawyer, challenged FINRA’s authority to request certain materials and declined to provide them. He argued that he should not be required to comply until FINRA’s authority was finally resolved.

Hearing Panel Rejected Brian Pavelko’s Defense

The Hearing Panel determined that a person subject to FINRA’s jurisdiction cannot refuse to comply with a Rule 8210 request while disputing the scope of the investigation. It found that Pavelko did not provide the requested records and information.

The Hearing Panel concluded that Pavelko violated FINRA Rules 8210 and 2010. It also determined that his responses did not amount to substantial compliance and found no circumstances that supported a lesser sanction. As a result, the Hearing Panel barred Pavelko from associating with any FINRA member firm in any role. Specifically, the securities broker appealed the decision on July 10, 2026.

Have You Made Investments Through Financial Advisor / Securities Broker Brian Pavelko?

Do you have concerns or questions regarding investments you made with Brian Pavelko? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the United States. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Pavelko and brokerage firms Pavelko worked for deny allegations of sales practice violations.