Articles Posted in Stockbroker Misconduct

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…

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…

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…