A National Securities Arbitration & Investment Fraud Law Firm
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…
Spencer Hilligoss (CRD# 7289560) is a previously registered broker whose last employer was Finalis Securities LLC (CRD# 305908) of New York, NY. Hilligoss was previously employed at Growth Capital Services, Inc. (CRD# 124658) of Claymont, DE, beginning in 2020. Prestige ATM While Hilligoss currently has no disclosures in his CRD, it…
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…
Santiago Torres Jr. (CRD# 5644622), a financial broker in Sinking Spring, Pennsylvania, with 14 years of industry experience, has been permanently barred from associating with any FINRA member firm after failure to provide information and documents to FINRA and failing to appear for on-the-record testimony. Torres Jr. had allegations from…