← Broker database 2025-10-27
Steven A. Pusterla Suspended for Failure to Provide Information
According to FINRA, Steven A. Pusterla was suspended from association with any FINRA member pursuant to FINRA Rule 9552(d) for failing to provide information or keep information current as required.
Pusterla's suspension began on October 27, 2025.
A suspension under Rule 9552(d) prevents an individual from associating with any FINRA member firm until they come into compliance with FINRA's information requests. If the individual complies, the suspension may be lifted. If they do not, the suspension may be converted to a permanent bar.
The obligation to respond to FINRA requests is not discretionary. By accepting registration in the securities industry, individuals agree to cooperate with regulatory oversight. Failure to do so undermines the regulatory framework that protects investors.
For investors who may have worked with Pusterla, this suspension warrants attention. Review your account statements and verify that all transactions were authorized. If you identify any concerns about how your account was handled, consider consulting with a securities attorney or filing a complaint with FINRA.
While a suspension for failure to provide information does not itself prove that an individual engaged in misconduct, it does indicate that the individual is not meeting their regulatory obligations.
All investors should periodically check the registration status and disciplinary history of their financial professionals. FINRA's BrokerCheck system provides this information free of charge and is an important resource for protecting your investments.