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Broker Dustin Smith (Dustin Allen Smith CRD# 2803156) is a registered broker and investment advisor currently employed with Citizens Securities, Inc. (CRD# 39550) of Naples, FL 34103. He was previously employed with Citizens Private Wealth (CRD# 106743, investment advisor only) of Tarrytown, NY, RBC Capital Markets, LLC (CRD# 31194) of Naples, FL, and UBS Financial Services Inc. (CRD# 8174), also of Naples.  He has been in the industry since 1996. Smith is the subject of two disclosures. The most recent, filed on 12/2/2025, is a customer dispute alleging that Smith invested all his clients’ retirement assets in “illiquid structured notes.” They request damages of $2M. No additional information is available, and this claim is pending. In a previous client dispute dated 10/16/2013, the client alleged that due to an incorrect address and failures to update, the client’s policy lapsed, and they missed a death benefit. They requested damages of $330,000.00 and were denied by the firm and refuted by Smith.Broker Dustin Smith (Dustin Allen Smith CRD# 2803156) is a registered broker and investment advisor currently employed with Citizens Securities, Inc. (CRD# 39550) of Naples, FL 34103. He was previously employed with Citizens Private Wealth (CRD# 106743, investment advisor only) of Tarrytown, NY, RBC Capital Markets, LLC (CRD# 31194) of Naples, FL, and UBS Financial Services Inc. (CRD# 8174), also of Naples.  He has been in the industry since 1996. Continue reading ›

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In a recent article on InvestmentNews, Silver Law Group founding attorney Scott Silver spoke about FINRA's decision to award $49.2 million to 102 investors with accounts with Worden Capital Management, LLC. The investors alleged that their accounts were fraudulently churned and excessively traded for commissions. The company and its founder, Jamie Worden, were found to have used the investor's money as “personal slush funds.” "At the end of the day, Axos served as the clearing firm for a notorious Wall Street boiler room,” Scott said. “Axos had full transparency into Worden’s business."  As the clearinghouse for all of Worden’s transactions, Axos knew what Worden was doing but did nothing to stop any activity they knew (or should have known) was illegal.  FINRA’s award stated that Worden Capital and its brokers were engaged "in egregiously unsuitable and excessive trading and churning, garnering over $16 million in commissions and fees while costing nearly all of [clients] out-of-pocket losses of over $12 million.”In a recent article on InvestmentNews, Silver Law Group founding attorney Scott Silver spoke about FINRA’s decision to award $49.2 million to 102 investors with accounts with Worden Capital Management, LLC. The investors alleged that their accounts were fraudulently churned and excessively traded for commissions. The company and its founder, Jamie Worden, were found to have used the investor’s money as “personal slush funds.” 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

Continue reading ›

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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.

Continue reading ›

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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

Continue reading ›

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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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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. In a FINRA arbitration hearing, Axos Clearing was found to have ignored Worden Capital’s use of investor monies as a “slush fund” while the company actively engaged in extensive churning, unauthorized trading, and unsuitable investment on behalf of its customers. As the clearinghouse that facilitated Worden’s finances, Axos ignored the red flags and “turned a blind eye” while Worden paid the firm millions in clearing and commission fees.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 ›

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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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