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Articles Posted in Stockbroker Misconduct

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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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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.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 ›

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Shareholders in publicly traded Blue Owl Capital Corporation (OBDC) recently filed a derivative lawsuit that accuses investment adviser Blue Owl Credit Advisors LLC of breaching its fiduciary duties under the Investment Company Act of 1940 by inflating asset valuations to extract excessive fees. The complaint was filed in April in the U.S. District Court in ​Manhattan. Blue Owl Credit Advisors LLC, the defendant in the case, serves as the external manager of the fund and is an indirect affiliate of Blue Owl Capital Inc. In the lawsuit, the plaintiff, Richard Delman, alleges that the adviser steadily inflated the value of these illiquid "Level 3" assets to drive up their fees. As evidence of this overstatement, Delman showed the consistent gap between the reported net asset value and publicly traded share price.Shareholders in publicly traded Blue Owl Capital Corporation (OBDC) recently filed a derivative lawsuit that accuses investment adviser Blue Owl Credit Advisors LLC of breaching its fiduciary duties under the Investment Company Act of 1940 by inflating asset valuations to extract excessive fees. The complaint was filed in April in the U.S. District Court in ​Manhattan. Blue Owl Credit Advisors LLC, the defendant in the case, serves as the external manager of the fund and is an indirect affiliate of Blue Owl Capital Inc. Continue reading ›

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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.

 
Joseph Gordon Nelson G.A. Repple & Company

Great Point Capital LLC

JRL Capital Corporation

Westpark Capital, Inc.

Newport Coast Securities, Inc.

Investors Capital Corp.

Continue reading ›

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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
William Kershaw NYLife Securities LLC
Ricky Allen McReynolds Multi-Bank Securities, Inc.

Kipling Jones & Co., Ltd.

Harvestons Securities, Inc.

The Riderwood Group Incorporated
Fernando Mendez LPL Financial LLC

Edward Jones

NYLife Securities LLC

J.P. Morgan Securities LLC
Robert Leroy Metz Fidelity Brokerage Services LLC
Ryan Mitchell Pigg  Charles Schwab & Co., Inc.
Hanspeter Schiegg Vontobel Securities Ltd.
Keith Wesley Schongar  Empower Financial Services, Inc.

TD Ameritrade, Inc.

Scottrade, Inc.

Continue reading ›

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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

Continue reading ›

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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.

Continue reading ›

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