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Articles Posted in Stockbroker Misconduct

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William Tunink (William Bernard Tunink, aka, “Bill Tunink” CRD# 2738224) is a former registered broker and investment advisor last registered with LPL Financial LLC (CRD# 6413) of West Des Moines, IA. He was previously employed with Avantax Investment Services, Inc. (CRD# 13686), also of West Des Moines. He has been in the industry since 1996. Tunink is the subject of 26 disclosures, primarily customer disputes. LPL Financial discharged Turnink on 9/8/2025 because he “Failed to disclose and receive prior approval for loans from customers; and settled a customer complaint away from the Firm.” It is unknown which customer complaint he settled on his own. FINRA issued a suspension, effective 4/6/2026, after Tunink failed to provide requested information to the agency for its investigation. Tunink is suspended in all capacities from association with any FINRA member. The suspension is effective until he provides FINRA with the requested information. Should Tunink fail to act, or request that his suspension be lifted within three months, the suspension is permanent as of 6/16/2026. William Tunink (William Bernard Tunink, aka, “Bill Tunink” CRD# 2738224) is a former registered broker and investment advisor last registered with LPL Financial LLC (CRD# 6413) of West Des Moines, IA. He was previously employed with Avantax Investment Services, Inc. (CRD# 13686), also of West Des Moines. He has been in the industry since 1996. Continue reading ›

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Arif Ahmed (CRD# 3099755) is a previously registered broker and currently registered investment advisor, currently employed with venture firm General Catalyst’s wealth division. Ahmed was previously employed as a broker with J.P. Morgan Securities LLC (CRD# 79) of Washington, DC. Before J. P. Morgan, Ahmed was employed with First Republic Securities Company, LLC (CRD# 105108) of Palo Alto, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691), also of Palo Alto. He has been in the industry since 1998. J.P. Morgan discharged Ahmed in May of 2025 after a customer dispute with requested damages of $225 million. In this CRD dispute, the client alleges that Ahmed engaged in misrepresentation, excessive trading, and offered unsuitable investment recommendations from April 27, 2020, through October 25, 2023. This claim is currently pending. The next customer dispute, filed on February 26, 2024, includes losses related to Ahmed’s investment recommendations from May 26, 2022, through September 29, 2023, and requests damages of $38 million. This claim is also pending. It’s not known if this claim is related to the most recent one.Arif Ahmed (CRD# 3099755) is a previously registered broker and currently registered investment advisor, currently employed with venture firm General Catalyst’s wealth division. Ahmed was previously employed as a broker with J.P. Morgan Securities LLC (CRD# 79) of Washington, DC. Before J. P. Morgan, Ahmed was employed with First Republic Securities Company, LLC (CRD# 105108) of Palo Alto, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691), also of Palo Alto. He has been in the industry since 1998. Continue reading ›

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According to FINRA Disciplinary actions for June 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
Eugene W. Antosh Ameriprise Financial Services, LLC

Edward Jones

Metlife Investors Distribution
Carolyn Marie Dammeyer W&S Brokerage Services, Inc.
Matthew Adam North Jackson National Life Distribution

Geneos Wealth Management, Inc.

Scottrade, Inc.
Patrick Michael Roraff

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According to FINRA Disciplinary actions for June 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
Clinton Edmund Galloway Drum Capital Corp

Private Investors Equity Group

First Street Securities Corp.
Francisco M. Gomez  LPL Financial LLC

BBVA Securities Inc.
Chihyu Jerry Hsu Park Avenue Securities LLC

Northwestern Mutual Investments

Morgan Stanley
Jesse D. Krapf Spartan Capital Securities, LLC

Benchmark Investments, Inc.

Newbridge Securities Corporation
William David Miller  Osaic Wealth, Inc.

Osaic FS, Inc.

Woodbury Financial Services, Inc.
William Hohill Song LPL Financial LLC

Wells Fargo Clearing Services, LLC

Citigroup Global Markets Inc.
William Bernard Tunink LPL Financial LLC

Avantax Investment Services, Inc.

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According to FINRA Disciplinary actions for June 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
James Keith Cox  Newbridge Securities Corporation

Stifel, Nicolaus & Company, In

Sterne, Agee & Leach, Inc.
Brendan Stephen Kammerer  Ameriprise Financial Services, LLC

Oppenheimer & Co. Inc.

Wells Fargo Clearing Services, LLC
Glenn J. Romer  Center Street Securities, Inc.

Lincoln Financial Securities
Serge Suleimani  Cetera Investment Advisers LLC

Cetera Wealth Services, LLC

Cetera Advisors Network LLC

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David Nathan Cohen (CRD# 5083883) is a former registered broker and investment advisor who was last employed with Cetera Investment Services LLC (CRD# 15340) of Yonkers, NY, and previously employed with Foresters Financial Services, Inc. (CRD# 305) in New York, NY. He has been in the industry since 2006. Cetera Investment Services discharged Cohen on 12/9/2025 after he continued to conduct business while he was suspended. The suspension was from allegations that he was directly collecting funds and using them to fund outside business activities. Cohen also refused to cooperate with the firm’s internal review process.David Nathan Cohen (CRD# 5083883) is a former registered broker and investment advisor who was last employed with Cetera Investment Services LLC (CRD# 15340) of Yonkers, NY, and previously employed with Foresters Financial Services, Inc. (CRD# 305) in New York, NY. He has been in the industry since 2006. Continue reading ›

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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. Roemmich voluntarily resigned from Alexander Capital on 5/12/2025 following a written customer complaint alleging unsuitable recommendations. The customer also followed with a civil lawsuit alleging fraud, securities fraud, and breach of fiduciary duties.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 ›

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The principals and others of the broker-dealer Reid and Rudiger have been sanctioned by FINRA in a disciplinary action. They are: Edward Joseph Rudiger Jr. (CRD# 2118724) Kelli A Mezzatesta (CRD# 4701170) Clifford Ronald Reid (CRD# 1905920) Marc Harrison (CRD# 1605568) 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.The principals and others of the broker-dealer Reid and Rudiger have been sanctioned by FINRA in a disciplinary action. They are:

  • Edward Joseph Rudiger Jr. (CRD# 2118724)
  • Kelli A Mezzatesta (CRD# 4701170)
  • Clifford Ronald Reid (CRD# 1905920)
  • Marc Harrison (CRD# 1605568)

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 ›

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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. Meyer is the subject of a customer dispute filed on 4/10/2026. The customer alleges “his account was placed into a call and put strategy without his knowledge or authorization,” and requests $5,000 in damages. This claim is currently “pending.”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 ›

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