A National Securities Arbitration & Investment Fraud Law Firm
Anthony Bottini III (CRD# 5567091) was a broker and investment advisor who was recently barred from the securities industry. Bottini worked for 13 years at Merrill Lynch, Pierce, Fenner & Smith Inc. in New York, one of the nation’s largest brokerage firms. The Financial Industry Regulatory Authority (FINRA) imposed the…
Judah Spinner (CRD# 7039921) a financial broker with six years of industry experience, was suspended from the securities industry by the Financial Industry Regulatory Authority (FINRA) following allegations of soliciting individuals to invest in an investment fund without providing written notice to his member firm, Primerica Financial Services. Spinner had been…
According to FINRA Disciplinary actions for November 2025, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Archimede PFS Investments Inc. Federico Cardona Stonecrest Advisors Inc. Morgan Stanley Jason Michael Fekete Ameritas…
According to FINRA Disciplinary actions for November 2025, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for November 2025, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Neil S. Cohen…
According to FINRA Disciplinary actions for October 2025, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS William Shane Garrow…
According to FINRA Disciplinary actions for October 2025, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for October 2025, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Robert George Gorham Equitable Advisors, LLC Oppenheimer & Co Inc. Cynthia Lynn Wadkinson Suntrust Investment Services,…
Shammi Samaroo (CRD# 6267861), a financial broker recently barred after refusing to produce documents and information requested by FINRA in connection with an investigation. Shammi Samaroo was employed by NYLife Securities LLC. for 8 years in Sunrise, Florida. NYLife Securities recently permitted him to resign while under internal review for…
Jody Vander Weide (CRD# 2571083) was barred after 29 years working as a broker in Grand Rapids, Michigan and Fort Wayne Indiana. At the time of the incident he was working at Osaic Wealth, Inc. Prior to that, he spent 17 years at Sigma Financial Corporation, where he was discharged…