Steven A. Pusterla Barred by FINRA for Failure to Provide Information

According to FINRA, Steven A. Pusterla was permanently barred from association with any FINRA member firm in January 2026 pursuant to FINRA Rule 9552(h), for failure to provide information or keep information current as required by FINRA rules. The bar became effective January 5, 2026.All registered persons and associated persons of FINRA member firms are required to maintain current registration information and to cooperate with FINRA's requests for information as a basic condition of operating in the regulated securities industry. FINRA Rule 9552(h) provides a mechanism for permanently barring individuals who fail to meet these requirements and do not cure the deficiency within the applicable period. A permanent bar is the most severe individual sanction available to FINRA and signals that the individual is no longer permitted to work in the securities industry in any capacity with a FINRA member firm.The specific circumstances of Pusterla's information failure are not detailed in the public disciplinary report. Investors who worked with Pusterla should review their account history for any concerns and can access his regulatory record through FINRA BrokerCheck. FINRA's registration transparency system protects investors by ensuring that the background of any registered person is publicly accessible. When individuals fail to maintain that transparency and refuse to remedy the deficiency, permanent removal from the industry is the appropriate investor protection response.

Source: FINRA disciplinary actions (PDF)