Articles Posted in FINRA Disciplinary Actions

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…

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…

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,…

Mario L Martinez (CRD# 6144561), a financial advisor formerly associated with Bank of America’s Merrill Lynch, Pierce, Fenner & Smith Inc. in Fort Lauderdale, Florida, was recently permanently barred from the securities industry. Martinez had been working at Merrill Lynch, Pierce, Fenner & Smith Inc for 9 years in the…

Anthony George Saab (CRD# 408501), a longtime broker most recently working with Sunbelt Securities, Inc. in Dallas, Texas, has been permanently barred by the Financial Industry Regulatory Authority (FINRA) after refusing to cooperate with an investigation into his sales of alternative investments. The issue with these alternative investments is that they are…

Nicholas Edward Stovall (CRD# 5581487) was barred for participating in private securities transactions not disclosed or approved from his firm prior to the transactions. Stovall sold $1,401,690 worth of unregistered promissory notes issued by Premier Global Corporation (PGC), Premier Factoring, LLC (PF-LLC) and Premier Factoring Group, LLC (PFG-LLC). This corporation…

San Antonio, Texas 2025 – Eric Anthony Dupre (CRD# 2174456), a financial broker with 26 years of experience, was permanently barred from the security industry in July 2025. Dupree had been with Ameriprise Financial Services for three years when they discharged him in December 2023 for violating company policies by borrowing…

According to FINRA Disciplinary actions for December 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 Vincent Jerome Camarda IBN Financial Servies Inc Traderfield Securities Inc. Samuel D. Frankfort Rockefeller Financial LLC…

According to FINRA Disciplinary actions for December 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…