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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 the industry since 2000. Morgan Stanley discharged Kleiner on 3/18/2025 after allegations of “recommendations to customers of non-firm approved and firm restricted investments, including ones in which Mr. Kleiner was also invested, failure to fully disclose outside investment, and use of personal device to engage in unauthorized disclosure of confidential, internal use only Firm information.” The allegations stem from ten customer disputes filed between April 16, 2025, and June 1, 2026, with similar claims of investment strategies that were not authorized by Morgan Stanley or in the clients' best interests. Customers continued to file disputes long after Kleiner’s discharge from Morgan Stanley.

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 the industry since 2000. Continue reading ›

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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. He has been in the industry since 2021. Lybbert is the subject of 5 disclosures, all customer disputes filed between June 12, 2025, and October 17, 2025, with collective total damages of $21,475,348.84.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. He has been in the industry since 2021. Continue reading ›

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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, New York. He has been in the industry since 2014. Sullivan’s CRD contains 11 disclosures, including 9 customer disputes. The most recent disclosure is a disciplinary action by FINRA related to Sullivan’s time at Aegis. During his tenure at Aegis, Sullivan placed 14 unauthorized trades in the non-discretionary accounts of four customers, who were all over the age of 60 and had a collective account value of $250,000. He neither contacted these customers nor obtained their permission to make these transactions on their behalf. The firm reversed the trades for three of the customers while the fourth filed a complaint with a state regulator, closed his account and transferred his holdings to a different broker-dealer. The FINRA disciplinary action is currently “pending.”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, New York. He has been in the industry since 2014. Continue reading ›

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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 of 17 disclosures. His discharge from LPL is dated September 8, 2025, indicating that the firm terminated his employment after failing to disclose that he was borrowing money from customers. He also did not receive the firm's permission before taking out loans from customers or settling a customer dispute outside of the firm. All the remaining disclosures are customer disputes, with one closed without action.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. Continue reading ›

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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 Witter Reynolds Inc. (CRD# 7556) of Purchase, NY. He began in the industry in 1987. Since June of 2024, Jacobi has had 11 customer disputes filed against him. Some are settled, others are pending. Most include allegations of unsuitable investment recommendations.  Of the settled claims filed, the collective requested damages total $379,000, and the settlements total $150,000. Although Jacobi is no longer employed as a broker or investment advisor, he is still subject to FINRA rules and regulations. No disciplinary actions have been filed as of this writing.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 Witter Reynolds Inc. (CRD# 7556) of Purchase, NY. He began in the industry in 1987. Continue reading ›

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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 Merrill Edge unit. Prior to working at Merrill Lynch, Pierce, Fenner & Smith Inc he was employed at AXA Advisors LLC in Miami, FL for almost two years.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 Merrill Edge unit. Continue reading ›

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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 high-risk. FINRA’s inquiry related to activity during Saab’s time at The Fig Group, LLC, a prior firm where he worked before joining Sunbelt Securities. Saab chose not to admit or deny FINRA’s findings but declined to provide the information regulators sought, which triggered the industry bar.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. Continue reading ›

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Blog-Graphics20Nicholas 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 provided financing to construction companies. Any unregistered promissory notes could have a higher risk of fraud and may leave investors without significant legal protection if something goes wrong. Continue reading ›

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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 money from clients. FINRA found that he borrowed at least $2,236,000 from two customers without informing or obtaining prior written approval from Ameriprise. He borrowed $65,000 from a married couple that were his clients and eventually repaid the loan. He also borrowed at least $2,171,000 through multiple loans from a different client, a 77-year-old customer.  Dupre promised to repay the principal plus additional compensation, but he has not repaid any portion of these funds that we are aware of.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 money from clients. Continue reading ›

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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
Raymond James and Associates Inc.
Robert James Hoefel US Bancorp Investments Inc
Wells Fargo Clearing Services
James Sunghoon Kim Stifel, Nicolaus & Co
Raymond James & Associates, Inc.
Thomas Stewart Lanier Wells Fargo Clearing Services
Citigroup Global Markets Inc.
Geraldine Card Maxfield

 

 PNC Wealth Management
Wells Fargo Clearing Services
James Edward McArthur IBN Financial Services Inc.
Traderfield Securities Inc.
Shane Robert Niederer Grove Point Investments LLC
LPL Financial LLC
Krista Ann Stamper Purshe Kaplan Sterling Investments
Raymond James Financial Services

Continue reading ›

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