From December 2019 to January 2022, while associated with Wells Fargo, Rodriguez caused at least 174 solicited purchases of unit investment trusts (UIT) in 36 customer accounts to be inaccurately marked as unsolicited. As a result, Rodriguez violated FINRA Rules 4511 and 2010. For this conduct, Rodriguez is suspended 15 business days in all capacities and fined $5,000.

In December 2021, Lansing agreed to be a named beneficiary of a life insurance policy belonging to a securities customer, who was not a family member, without his firm's approval. In September 2024, a few months after his customer died, Lansing received a bequest of more than $50,000 from the policy, again without his firm's approval. Lansing has since repaid the bequest to the decedent customer's estate. As a result, Lansing violated FINRA Rules 3241 and 2010 and is suspended in all capacities for seven months and fined $10,000.

From at least January 2016 through November 2022, Velocity Capital failed to: (i) reasonably evaluate six disclosed outside business activities (OBAs) in violation of FINRA Rules 3270.01 and 2010; (ii) reasonably respond to red flags that representatives were engaged in undisclosed OBAs in violation of FINRA Rules 3110 and 2010; and (iii) reasonably supervise four private securities transactions (PSTs) in violation of FINRA Rules 3280 and 2010.