A National Securities Arbitration & Investment Fraud Law Firm
Roger Allan Roemmich (CRD# 1293322) is a former registered broker and investment advisor, last employed by Alexander Capital, L.P. (CRD# 40077) of Red Bank, NJ. His previous employers include Dempsey Lord Smith, LLC (CRD# 141238) of Alpharetta, GA, Coastal Equities, Inc. (CRD# 23769) and Triad Advisors, Inc. (CRD# 25803), both of Roswell, GA. He has been in the industry since 1984. Continue reading ›
Axos Clearing LLC (CRD# 117176/SEC# 8-53595) has been ordered to pay more than $40.7 million to over 100 claimants after ignoring the signs that the now-defunct Worden Capital Management LLC was misappropriating client funds prior to its expulsion from FINRA in 2021. Continue reading ›
The principals and others of the broker-dealer Reid and Rudiger have been sanctioned by FINRA in a disciplinary action. They are:
All four were employed with Reid and Rudiger until 4/30/2026. Of the four, Harrison has been in the industry the longest, starting in 1986. Reid began in 1989, with Rudiger entering the industry in 1992 and Mezzatesta beginning in 2009. Continue reading ›
Paul Richard Meyer (CRD# 3062534) is a previously registered broker and investment advisor last employed with RBC Capital Markets, LLC (CRD# 31194) of Minnetonka, MN. His previous employers include MORGAN STANLEY (CRD# 149777 and CRD# 8209) of Minneapolis, MN. He has been in the industry since 1998. Continue reading ›
Eric Fiallo (CRD# 5123703) is a former registered broker last employed with PFS Investments Inc. (CRD# 10111) of Hialeah, FL, from 2008 through 2025.
Fiallo resigned from PFS Investments on 6/2/2026 while under an internal review following allegations of borrowing money from a firm client. FINRA reviewed Fiallo’s Form U5 filed by PFS Investments and began investigating. On October 14, 2025, FINRA sent Fiallo a request for documents and information related to the investigation. In an email dated November 14, 2025, Fiallo responded to FINRA’s request, stating that although he received the request, he would not provide documentation and information as requested. Continue reading ›
According to FINRA Disciplinary actions for May 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Joshua Aaron Dean | Merrill Lynch, Pierce, Fenner
USAA Investment Services Company USAA Financial Advisors, Inc. TIAA-CREF Individual & Institutional Services LLC |
| TD Ameritrade, Inc.
Charles Schwab & Co., Inc.
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| Joseph Gordon Nelson | G.A. Repple & Company
Great Point Capital LLC JRL Capital Corporation Westpark Capital, Inc. Newport Coast Securities, Inc. Investors Capital Corp. |
According to FINRA Disciplinary actions for May 2026, 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 Services, Inc.
Traderfield Securities Inc. American Portfolios Financial Services, Inc. LPL Financial LLC |
| Brian Ariel Chicas | NYLife Securities LLC |
| Timothy James Gardner | Ameriprise Financial Services, LLC
IDS Life Insurance Company PFS Investments Inc. |
| James Edward McArthur | IBN Financial Services, Inc.
Traderfield Securities Inc. American Portfolios Financial Services, Inc. LPL Financial LLC |
| Brendan Kammerer | Ameriprise Financial Services, LLC
Oppenheimer & Co. Inc. Wells Fargo Clearing Services, LLC Credit Suisse Securities (USA) LLC |
| Glenn J Romer | Center Street Securities, Inc.
Lincoln Financial Securities Corporation |
| James Keith Cox | Newbridge Securities Corporation
Stifel, Nicolaus & Company, Incorporated Sterne, Agee & Leach, Inc. Stanford Group Company |
| Eileen Law Cure | LPL Financial LLC
HD Vest Investment Services Investment Management & Research, Inc. Merrill Lynch, Pierce, Fenner |
| Randy Cleve Fox | GT Securities, Inc.
Portsmouth Financial Services Charles Schwab & Co., Inc. Atel Securities Corporation |
According to FINRA Disciplinary actions for May 2026, the following individuals were suspended from FINRA and currently cannot work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Eugene W. Antosh | Amerirprise Financial Services, LLC
Edward Jones Metlife Investors Distributions |
| Carolyn Marie Dammeyer | W&S Brokerage Services, Inc. |
| Matthew Adam North | Jackson National Life Distribution
Geneos Wealth Management, Inc. Scottrade, Inc. Sammons Securities Company, LLC Sigma Financial Corporation |
| Danielle Rose Sonnenberg | Innovation Partners LLC
Sloan Securities Corp. |
According to FINRA Disciplinary actions for May 2026, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Jeremy Matthew Benson | Nylife Securities LLC |
| Nafissa Diallo | Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for April 2026, 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 |
| Maher Dabbouseh | Edward Jones |
| Adam Scott Kaplan | Merrill Lynch, Pierce, Fenner
Morgan Stanley |
| Daniel Evan Kaplan | Merrill Lynch, Pierce, Fenner
Morgan Stanley |
| Sean Patrick McCrory | Morgan Stanley
J.P. Morgan Securities LLC |
| Drew Matthew Peacock | Ameriprise Financial Services, LLC
Edward Jones |
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