(CRD #2665998, Naples, Florida)

April 14, 2026 – An AWC was issued in which David George Joyce was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Joyce consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its review of a FINRA Rule 4530 filing, which disclosed that he facilitated a customer’s cash deposit, in violation of his member firm’s written policy. (FINRA Case #2024081126501) If you have suffered losses as a result of David George Joyce’s act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by David George Joyce. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.