Our firm is investigating Morgan Stanley broker and investment adviser representative Shaun Bruce Freeman (CRD# 2779691) of Morristown, New Jersey in connection with customer disputes reported through FINRA BrokerCheck.
According to his BrokerCheck report, Freeman has been registered with Morgan Stanley since June 2009 as both a broker and investment adviser representative. His record reflects two customer dispute disclosures, both of which were denied.
Our firm is investigating Stifel, Nicolaus & Company, Incorporated broker and investment adviser representative Michael Owen Barry (CRD# 2690041) of New Orleans, Louisiana in connection with customer disputes reported through FINRA BrokerCheck.
According to his BrokerCheck report, Barry has been registered with Stifel, Nicolaus & Company, Incorporated since July 2015 as both a broker and investment adviser representative. His record reflects two customer dispute disclosures, both of which have been settled.
Our firm is investigating Creand Securities broker Javier Adolfo Naselli (CRD# 2425401) of Miami, Florida in connection with customer disputes reported through FINRA BrokerCheck, including a pending FINRA arbitration seeking $5 million in alleged damages.
According to his BrokerCheck report, Naselli has been registered with Creand Securities since August 2025. His record reflects four customer dispute disclosures, including two pending matters and two final matters.
Our firm is investigating PFS Investments Inc. broker and Primerica Advisors investment adviser representative Norman Dsilva (CRD# 2420634) in connection with a pending customer dispute reported through FINRA BrokerCheck.
According to his BrokerCheck report, Dsilva has been registered with PFS Investments Inc. since January 1994 and with Primerica Advisors since July 2016. His record reflects two customer disputes, including one pending FINRA arbitration.
Our firm is investigating The Leaders Group, Inc. broker and Financial Designs Wealth Management investment adviser representative Jorge Alberto Valdes (CRD# 2403666) of Miami, Florida in connection with customer disputes reported through FINRA BrokerCheck.
According to his BrokerCheck report, Valdes is currently registered with The Leaders Group, Inc. and Financial Designs Wealth Management. His record reflects two customer dispute disclosures, both of which are final rather than pending.
Our firm is investigating Citigroup Global Markets Inc. broker and financial advisor Elijah Grant Goble (CRD# 6760147) of Costa Mesa, California for potential investment-related misconduct arising from customer complaints alleging an unsuitable coupon barrier note recommendation and improper handling of a municipal debt account.
Elijah Grant Goble’s Financial Advisor Career History
According to his FINRA BrokerCheck report, Elijah Grant Goble has been registered in the securities industry since 2017 and is currently licensed in numerous states and with multiple self-regulatory organizations.
He is presently registered as a General Securities Representative and investment adviser representative with Citigroup Global Markets Inc. (CRD# 7059), working through Citi Retail Banking branch offices in Costa Mesa, California, and affiliated locations. He has been with Citigroup Global Markets Inc. since March 26, 2018. Goble’s prior investment-related employment includes:
Merrill Lynch, Pierce, Fenner & Smith Inc. in Irvine, California, where he was employed as a financial advisor from February 2017 through March 2018 and registered with the firm from April 2017 through March 2018.
Bank of America, N.A. in Irvine, California, where he served as a financial advisor from August 2017 to March 2018.
Ashley Quinn Romiti (CRD# 7636987). Our firm is investigating Realta Equities, Inc. broker and Realta Investment Advisors, Inc. investment adviser representative Ashley Quinn Romiti of San Juan Capistrano, California for potential investment-related misconduct involving allegedly unsuitable recommendations in Delaware Statutory Trust (DST) and other real estate securities.
Financial Advisor’s Career History
According to her FINRA BrokerCheck report, Ashley Quinn Romiti is currently registered as a General Securities Representative with Realta Equities, Inc. and as an investment adviser representative with Realta Investment Advisors, Inc. She has been registered with both firms since March 3, 2025, working primarily out of San Juan Capistrano, California, while also listing a Wilmington, Delaware office address.
Romiti has passed the Securities Industry Essentials (SIE) exam, the Series 7TO General Securities Representative Examination, and the Series 66 Uniform Combined State Law Examination. She is licensed in all 50 U.S. states, the District of Columbia, and Puerto Rico.
Before joining Realta Equities and Realta Investment Advisors, Romiti was registered with Arkadios Capital (broker) and Arkadios Wealth Advisors (investment adviser) from July/August 2023 through March 2025. Prior to that, she was associated with Emerson Equity LLC as both a broker and investment adviser from November 2022 through November 2023, based in Irvine and San Mateo, California. Her employment history also includes investment-related business development roles at Perch Wealth, Verada, and Topside Real Estate, as well as non-investment-related positions in business development and case management
Alex Ng (CRD# 5842211) is a PHX Financial, Inc. stockbroker and investment adviser representative based in New York, New York, who is currently the subject of multiple pending FINRA customer disputes involving allegedly unsuitable investments and misrepresentation.
Stockbroker Alex Ng’s Career History
Alex Ng has spent his entire securities career in the New York market with a small number of brokerage and advisory firms:
August 2010 – June 2022: Registered Representative, National Securities Corporation (New York, NY).
March 2019 – May 2022: Investment Adviser Representative, National Asset Management (New York, NY).
May 2022 – Present: Registered Representative, PHX Financial, Inc. (New York, NY).
He is currently registered as a General Securities Representative with FINRA and licensed as a securities agent in more than 40 U.S. states and territories.
Peter Kyle Janssen (CRD# 5691028). Our firm is investigating Janssen Partners, Inc. broker and financial advisor Peter Kyle Janssen (CRD# 5691028) of Fairfield, Iowa for potential investment-related misconduct involving private placements and other alternative investments.
Financial Advisor’s Career History
According to FINRA BrokerCheck, Peter Kyle Janssen has been registered in the securities industry since 2011. He is currently registered as a General Securities Representative with Janssen Partners, Inc. (CRD# 43940) in Fairfield, Iowa, where he has been associated since December 21, 2022.
Janssen has been registered with the following broker-dealers over the course of his career:
Janssen Partners, Inc. (Fairfield, IA): 07/2011 – 02/2013; 07/2020 – 02/2022; and again from 12/21/2022 to the present.
Aegis Capital Corp. (New York, NY): 02/2013 – 10/2014.
Katalyst Securities LLC (New York, NY): 02/2015 – 10/2015 and 10/2015 – 05/2020.
He is currently licensed in multiple states, including California, Florida, Nevada, New York, and Texas.
Our firm is investigating Cetera Investment Services broker and Cetera Investment Advisers investment advisor representative Gihan Anil Fernando (CRD# 4469669) of Houston, Texas for potential investment-related misconduct involving non-traded real estate investment trusts (REITs) and other real estate securities.
Financial Advisor’s Career History
According to FINRA BrokerCheck, Gihan Anil Fernando has worked in the securities industry since 2002 and is currently dually registered as both a broker and investment adviser representative in Texas.
Fernando is presently associated with:
Cetera Investment Advisers LLC (CRD# 105644) as an Investment Adviser Representative, registered since July 2, 2024, with a branch office at 5433 Westheimer Road, Suite 800, Houston, Texas 77056.
Cetera Investment Services LLC (CRD# 15340) as a General Securities Representative and Texas agent, registered since January 12, 2024, also listing the Houston, Texas branch at 5433 Westheimer Road, Suite 800.
His prior registration and employment history includes:
BOK Financial Advisors (CRD# 17530) in Bellaire, Texas, as an investment adviser representative from March 2003 to November 2023.
BOK Financial Securities, Inc. (CRD# 17530) in Bellaire, Texas, as a broker from March 2003 to November 2023, where he held senior roles including Senior Vice President and Senior Financial Advisor.
Morgan Stanley and Morgan Stanley DW Inc. (CRD# 7556) in Houston, Texas and Purchase, New York, where he was registered between 2002 and early 2003.
