Richard Rappaport is named in a pending arbitration claim over DST investments recommended by WestPark Capital, according to his BrokerCheck report, which lists him as Richard Alyn Rappaport (CRD: 1885122).

Chuck Roberts (CRD: 2064602) settled a Stifel customer dispute for $30,000,000 on September 11, 2026, after the claimant alleged $5,000,000 in damages.

The Logan Group Securities [CRD: 40259, Roseville, California] was censured and fined $70,000 in a FINRA disciplinary action, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. FINRA found that the firm, listed in the report as Logan, Kevin Christopher dba The Logan Group Securities, willfully violated Reg BI and Form CRS requirements. The firm consented to the sanctions and to the entry of findings without admitting or denying them, according to the Letter of Acceptance, Waiver and Consent (AWC) issued July 27, 2026.

Brown Associates, Inc. [CRD: 5049, Chattanooga, Tennessee] was censured and fined $30,000 in an AWC issued by FINRA, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

RBC Capital Markets, LLC (CRD #31194, New York, New York) was censured and fined $275,000 after an AWC found the firm failed to develop and implement an anti-money laundering compliance program reasonably designed to detect and cause the reporting of suspicious transactions, according to FINRA's September 2026 disciplinary report.

Brian James Pavelko [CRD: 6347352, McAdoo, Pennsylvania] was barred from association with any FINRA member in all capacities, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. The entry states that Pavelko appealed an OHO decision to the NAC in which he had been barred for failing to provide certain information and documents requested by FINRA. The action is dated July 10, 2026, per the report.

Tory A. Duggins (CRD #4556340, Bronx, New York) was barred from association with any FINRA member in all capacities, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. An Office of Hearing Officers decision became final on July 6, 2026. FINRA Case #2025084815701 is the case number listed for the matter.

Jeremy Squires, also known in FINRA records as Jeremy Jeffery Squires [CRD: 6584655, Center Point, Iowa], was suspended by FINRA for one month, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

FINRA barred Taspia Rahman (CRD #7757705), a Brooklyn, New York broker, from association with any FINRA member in all capacities. The bar is recorded in an AWC dated July 24, 2026, and it covers every capacity in which Rahman could otherwise register with FINRA. FINRA's report lists Brooklyn, New York as Rahman's location and CRD #7757705 as her registration number.