A National Securities Arbitration & Investment Fraud Law Firm
Eduardo Leon Jr. (CRD# 2232647), a Houston based financial broker with more than 33 years of securities industry experience, has been recently suspended by the Financial Industry Regulatory Authority (FINRA). The suspension followed allegations that Leon recommended investments that were not in the best interests of his clients. He has spent 31 years at Global Financial Services LLC in Houston. 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 |
Syosset, NY-based Tasty Brands, LP, recently paused its distributions after its share price dropped and the net asset value decreased from its original purchase price. Tasty Brands is an affiliate of the Los Angeles-based private equity firm Triton Pacific. Continue reading ›
Silver Law Group is currently investigating claims on behalf of clients who may have suffered losses after investing in Point Bonita Capital. We are also investigating whether Point Bonita Capital made false or misleading statements to investors and potential investors regarding its relationship to auto parts conglomerate First Brands, LLP. Continue reading ›
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. Continue reading ›
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. | |
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