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. Continue reading ›
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 employed at PFS Investments Inc. for two years in Las Vegas, Nevada. Continue reading ›
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 Investment Company LLC |
| Lincoln Financial Securities Corporation | |
| Seth Horowitz | JP Morgan Securities LLC. |
| UBS Financial Services Inc. | |
| Michael Edwin Magruder | Raymond James & Associates, Inc |
| Merrill Lynch, Pierce Fenner & Smith Inc | |
| Michael Frank Paesano | Morgan Stanley |
| UBS Financial Services Inc. | |
| Gary Michael Strange | Cambridge Investment Research Inc |
| Princor Financial Services Corp |
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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Lauren Elizabeth Durand | |
| Federico Gonzalez | Oppenheimer & Co |
| Truist Investment Services | |
| Austin Matthew Martinez | TIAA-CREF Individual & Institution Services LLC |
| Michael Lee Young Jr. | LPL Financial LLC |
| Commonwealth Financial Network | |
| Angela Danee Maynard | Merrill Lynch, Pierce Fenner |
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 | Merrill Lynch, Pierce Fenner & Smith Inc. |
| Metlife Securities Inc. | |
| Hamish Andre Grason | UBS Financial Services Inc. |
| Merrill Lynch, Pierce Fenner & Smith Inc. | |
| Adrian Malcom Ince | Standard New York, Inc. |
| ICBC Standard Securities Inc. | |
| Marcelo Jorcin | Insight Securities Inc. |
| Patrick Aaron Pistor | Equitable Advisors, LLC |
| Robert Lee Remine | Osaic Wealth Inc. |
| Securities America Inc | |
| Jose Angel Sanchez | Insight Securities Inc. |
| Horwitz & Associates, Inc. | |
| Joseph Alan Seidler | RBC Capital Markets, LLC |
| Wells Fargo Clearing Services LLC | |
| Ida Cukier Shkurman | Insight Securities Inc. |
| Colony Park Financial Services | |
| Anand Anthony Sookbir | JP Morgan Securities LLC |
| Patsy Ann Turrentine | Prospera Financial Services Inc |
| Rodman & Renshaw Inc |
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 | BOK Financial Securities, Inc |
| Banc of America Investment Services, Inc | |
| Noah Dewayne Shaw | Citigroup Global Markets Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc. |
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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Amber Nicole Cook | US Bancorp Investments, Inc |
| Bernie Mohar | Edward Jones |
| Kathleen Rashleigh | UBS Financial Services Inc |
| Merill Lynch, Pierce, Fenner & Smith Inc. | |
| George Stratis | TD Securities (USA) LLC |
| Credit Suisse First Boston Corporation | |
| Anna Marie Verzosa | |
| Andrew S. Walters | First Kentucky Securities Corp |
| Charles Schwab & Co | |
| Nathan Reed Waters | |
| Kevin Tong You | Northwestern Mutual Investment Services LLC |
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, Inc. |
| Wells Fargo Advisors, LLC |
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 potential violations of their company policies. The details of NYLife’s specific concerns were not disclosed. Continue reading ›
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 for violating the firm’s policies by engaging in an undisclosed outside business activity as an unlicensed investment advisor representative. Continue reading ›
Securities Arbitration Lawyers Blog