Thomas Pieter Lansing Jr. (CRD #5920861) Has a Regulatory Disclosure on FINRA BrokerCheck

Thomas Pieter Lansing Jr. (CRD #5920861) was previously registered with FINRA. We reviewed his BrokerCheck report on March 6, 2026. It reflects one regulatory event. If you invested with Thomas Lansing and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

Thomas Lansing’s FINRA BrokerCheck report reflects one regulatory event disclosure. A summary of the disclosure is below:

On February 3, 2026, Thomas Lansing’s FINRA BrokerCheck report shows FINRA entered a final regulatory action. FINRA found that Lansing agreed to be named a beneficiary of a customer’s life insurance policy and later received more than $50,000 from the policy without notice to or approval from his firm. The report states he returned the funds to the customer’s estate after his firm discovered the bequest. FINRA imposed a seven-month suspension in all capacities from March 2, 2026, through October 1, 2026, and a $10,000 fine. See the AWC.

Rule Summary #1: FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer)

FINRA Rule 3241 says a registered person must decline being named a customer’s beneficiary or receiving a bequest unless the customer is immediate family or the firm gets written notice and gives written approval first. This rule exists to reduce conflicts and protect customers from undue influence.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. When conduct involves undisclosed conflicts or improper personal benefits, FINRA often treats it as a Rule 2010 issue.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Thomas Lansing:

Is not currently registered with FINRA.

Has passed the Securities Industry Essentials (SIE) exam. Thomas Lansing has also passed Series 6 and Series 63.

Was previously registered with firms that include Cetera Financial Specialists LLC, Equity Services, Inc., and MSI Financial Services, Inc.

Kurta Law Can Help

If you have worked with Thomas Lansing and you have concerns about your account or related conduct, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.