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Public Justice

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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

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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

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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

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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. Point Bonita Capital is a trade finance-focused hedge fund manager based in New York. Leucadia Asset Management, a subsidiary of Jefferies Financial Group, manages it. The fund invests in private corporate credit, specifically in short-dated receivables, which is a form of factoring where the fund purchases a company's accounts receivable. Jefferies is a 5.9% investor in the Point Bonita fund, according to a company press release. Point Bonita was a primary financier of First Brands, LLP. The fund purchased accounts receivable from First Brand’s clients, such as Walmart, O'Reilly Auto Parts, Auto Zone, and others, and payments would be directed to Point Bonita. In mid-September 2025, the payments to Point Bonita stopped. Amid reports of its off-balance-sheet financing, pledging collateral more than once, and potential liabilities as high as $50 billion, First Brands filed for Chapter 11 bankruptcy on September 28, 2025.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 ›

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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.

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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

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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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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. Regulatory allegations against Weide included making false or misleading statements to his firms and to the Securities and Commercial Licensing Bureau.  Specifically, he misrepresented the reason for his termination by Sigma Financial Corporation.  He also suggested that he was unaware of the wrongfulness of charging unauthorized fees to customers without his broker dealer firm’s approval and attempted to erase his paper trail. He also made false statements about his registration application. 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 ›

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