Securities Arbitration Lawyers Blog

Thomas Lansing (CRD# 5920861) is a broker and investment advisor currently registered with Cetera Financial Specialists LLC (CRD# 10358) of Greenwich, NY. Previously, he was registered with and employed by Equity Services, Inc. (CRD# 265) of Burnt Hills, NY, and MSI Financial Services, Inc. (CRD# 14251) of Latham, NY. He has…

After allegedly misappropriating over $9 million from an elderly client to finance a high-dollar lifestyle, Smyrna, Georgia-based Ejiro Okuma has agreed to pay the U.S. Securities and Exchange Commission a sum of more than $13 million, including a civil penalty of $3 million. Ejiro Ode Okuma (CRD# 5774832, also known…

Scottsdale, Arizona-based Inspired Healthcare Capital, a private equity investor focused on senior living, housing, and development, has filed for Chapter 11 bankruptcy protection in the Northern District of Texas. Over 160 of Inspired’s affiliates have also filed for Chapter 11 protection. The court filings indicate that this compendium of debtors…

Investors who want to file a FINRA arbitration and are aged 70 or over or have severe health conditions will soon be able to file a more expedited claim. After March 30, 2026, FINRA rule changes accelerate the process for these claimants. Affidavits or medical records are not needed to…

Jose Abel Gamez (CRD# 4292479) is a former registered broker and investment advisor. His most recent employer was Raymond James Financial Services, Inc. (CRD# 6694) of San Antonio, Texas. His previous employers include Chase Investment Services Corp. (CRD# 25574), LPL Financial LLC (CRD#:6413), USAA Investment Management Company (CRD# 5475), also…

Eric Brian Kleiner (CRD# 4135180) is a previously registered broker and investment advisor, last employed with Morgan Stanley (CRD# 149777) of New York, New York. Previously, he was employed by Wells Fargo Advisors, LLC (CRD# 19616) and Prudential Securities, Inc. (CRD# 7471), both based in New York. He has been in…

Robert Val Lybbert (CRD# 7451138, also, “Robert V. Lybbert”) is a registered broker and investment advisor currently employed by Edward Jones (CRD#: 250) of Issaquah, WA. He was previously employed (as an investment advisor) by Elite Wealth Management, Inc. (CRD# 132122) and Lattice Capital Management LLC (CRD#:141860) of Kirkland, WA.…

Sean T. Sullivan (CRD#: 6283466) is a previously registered broker last employed with Sovereign Global Advisors LLC of Denver, Colorado. His previous employers were Spartan Capital Securities, LLC (CRD#:146251) of Garden City, New York, Aegis Capital Corp. (CRD#:15007) of Melville, New York, and Joseph Stone Capital L.L.C. (CRD#:159744) of Hauppauge,…

William Bernard Tunink (CRD# 2738224, aka “Bill Tunink”) is a former registered broker and investment advisor last employed by LPL Financial LLC (CRD# 6413) of West Des Moines, Iowa. His previous employer was Avantax Investment Services, Inc. (CRD# 13686). He began in the industry in 1996. Tunink is the subject…

Christopher John Jacobi (CRD# 1648679, aka “Chris Jacobi”) is a former registered broker and investment advisor last employed by Ameriprise Financial Services, LLC (CRD# 6363) of Pensacola, FL. Jacobi’s previous employers include Wachovia Securities, LLC (CRD# 19616) of Destin, FL, NBC Securities, Inc. (CRD# 17870) of Birmingham, AL, and Dean…