A National Securities Arbitration & Investment Fraud Law Firm
Camden, South Carolina 2025 – Donald Franklin Spivey (CRD#: 847360), a financial broker with 45 years of experience, has been barred from the securities industry after refusing to appear for on the record testimony requested by FINRA. The testimony was part of an investigation into whether certain recommendations he made were suitable for, or in the best interests of his clients. Continue reading ›
According to FINRA Disciplinary actions for December 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 |
| Jim Carl Dedmon Jr. | Wells Fargo Clearing Services LLC |
| Morgan Stanley | |
| Jihoon Park | MML Investors Services, LLC |
| Frey D Pena Perez | JP Morgan Securities LLC |
| George Stratis | TD Securities LLC |
| Credit Suisse First Boston Corporation | |
| Anna Marie Verzosa | |
| Kevin Tong You
|
Northwestern Mutual Investment |
Cobleskill, New York 2025 – Meredith Webber (CRD#: 2435263), a financial broker with 26 years of experience, has been barred from the securities industry after failing to provide documents or appear for on the record testimony requested by FINRA. The requests were part of an investigation into whether she misappropriated funds from two elderly customers. Continue reading ›
Sapulpa, Oklahoma 2025 – Tiffany Keigley (CRD#: 4507001), a financial broker with 17 years of experience, was permanently barred from the security industry in July 2025. She had spent 15 years at Morgan Stanley before her employment was terminated, after which the firm filed a Form U5 that triggered a FINRA investigation. Continue reading ›
Cody M. Anderson (CRD# 5999762) a financial broker with 12 years of industry experience, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). This disciplinary action follows Anderson’s failure to request termination of a prior suspension, which stemmed from allegations that he submitted multiple fictitious variable annuity applications. Continue reading ›
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 ›
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. |
Securities Arbitration Lawyers Blog