Ejiro Ode Okuma

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2025: Okuma refused to provide information and documents requested pursuant to FINRA Rule 8210 in connection with an investigation into whether he converted funds of an elderly customer. As a result, Okuma violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2025086347901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5774832

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.