A National Securities Arbitration & Investment Fraud Law Firm

$70 MILLION Recovery for Investment Fraud
$44 MILLION Recovery for Ponzi Scheme Victims
$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
$1 MILLION Securities Arbitration Award for Elder Financial Fraud
American Association for Jusice
Florida Legal Elite 2011
Legal Leaders
5th Annual Most Effective Lawyers 2009
Multi-Million Dollar Advocates Forum
Super-Lawyers
SFLG
Top 100
Public Justice

|

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 ›

|

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 ›

|

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 ›

|

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 ›

|

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 ›

|

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 ›

|

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 ›

|

White River Energy Corp’s (WTRV) and SEC registered investment adviser Nepsis, Inc. are the subject of an ongoing DOJ criminal tax investigation into the sale of so-called “sovereign tribal tax credits” that were fraudulently sold to investors. According to news reports, the claim was that they were falsely marketed as being allocated to tribes under the Indian Self-Determination and Education Assistance Act. In fact, they were not legitimate, and caused problems later for investors. White River and Nepsis invoked the names of multiple Native American tribes, and claiming exclusive access to these credits. To the brokers and investors, the companies were giving the incorrect impression that they were not only sanctioned by the tribes but operated within the tribes’ inclusive legal framework. These tax credits didn’t exist, and the named tribes disavowed any relationship with both companies. The Cherokee Nation’s attorney general issued cease-and-desist letters demanding White River stop using the tribe’s name.White River Energy Corp’s (WTRV) and SEC registered investment adviser Nepsis, Inc. are the subject of an ongoing DOJ criminal tax investigation into the sale of so-called “sovereign tribal tax credits” that were fraudulently sold to investors. According to news reports, the claim was that they were falsely marketed as being allocated to tribes under the Indian Self-Determination and Education Assistance Act. In fact, they were not legitimate, and caused problems later for investors. Continue reading ›

|

Silver Law Group recently won a $2,700,000 FINRA arbitration award on behalf of an elderly woman who lost virtually everything she had invested with Edwin Lickiss, who operated a Ponzi scheme out of an Arkadios Capital branch office in Alamo, California for decades. The four-day hearing ended with a panel of arbitrators ruling in our client's favor against broker-dealer Arkadios Capital. Lickiss was criminally indicted in July 2025 and pled guilty to wire fraud and money laundering on May 20, 2026. His son, an Arkadios-registered advisor, worked out of the same branch office from which Edwin Lickiss ran his scheme. Our client, like many of Lickiss's victims, lost nearly everything she had entrusted to him.Silver Law Group recently won a $2,700,000 FINRA arbitration award on behalf of an elderly woman who lost virtually everything she had invested with Edwin Lickiss, who operated a Ponzi scheme out of an Arkadios Capital branch office in Alamo, California for decades. The four-day hearing ended with a panel of arbitrators ruling in our client’s favor against broker-dealer Arkadios Capital. Continue reading ›

Contact Information
Main Office
11780 W Sample Rd
Coral Springs, FL 33065
Phone: (954) 755-4799Fax: (954) 755-4684
New York Office
229 W 36th St 8th Floor
New York, NY 10018
Phone: (212) 377-5227
Florida Office
4755 Technology Way #205
Boca Raton, FL 33431
Phone: (561) 665-8613
ATTORNEY ADVERTISING

Visit our Florida Securities Whistleblower Website

We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas–Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Silver Law Group
JUSTIA Law Firm Blog Design