2021069229101 Gilbert A. Rodriguez Jr. CRD 5452850 AWC ks.pdf

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.

2024083885501 Thomas Lansing CRD 5920861 AWC ks.pdf

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.
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