Jody Vander Weide

On May 30, 2025, the Financial Industry Regulatory Authority (FINRA) announced that it has barred former securities representative Jody Vander Weide from associating with any FINRA member in any capacity. The action stems from his refusal to cooperate in a regulatory investigation into alleged undisclosed outside business activity.

Vander Weide entered the securities industry in 1994 and was most recently registered through Sigma Financial Corporation until his termination in March 2024. The firm disclosed that he was discharged due to suspicions that he had engaged in an unapproved outside business activity while acting as an unlicensed investment adviser representative.

According to FINRA, Vander Weide initially cooperated with its investigation but stopped responding to document and information requests as of May 2025. On April 29, 2025, FINRA sent a formal request for additional information under Rule 8210. Vander Weide, through counsel, acknowledged receipt but refused to comply. This noncooperation constituted violations of FINRA Rules 8210 and 2010, both of which are central to ensuring transparency and accountability within the financial services industry.

As a result, FINRA issued a permanent bar against Vander Weide, preventing him from working with any FINRA member firm in any role, including clerical or non-licensed functions.

If you invested with Jody Vander Weide and believe you may have been harmed by undisclosed or unauthorized activity, contact ChapmanAlbin today. We help investors nationwide recover losses due to broker misconduct and regulatory violations.

Call (877) 410-8172 or visit www.chapmanalbin.com for a free consultation.