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.

Our firm is investigating Insigneo Advisory Services, LLC investment adviser representative and Insigneo Securities, LLC broker Patricia P. Holder (CRD# 2894768) of Miami, Florida for potential investment-related misconduct, including unsuitable securities-backed line of credit recommendations and alleged violations of Reg BI stemming from her prior employment at Morgan Stanley Smith Barney.
Financial Advisor’s Career History
According to FINRA’s BrokerCheck report, Patricia P. Holder has worked in the securities industry since 1997. Her career includes long tenures at several major Wall Street firms before joining Insigneo in 2024.
Current firms (February 2024 – Present)
Insigneo Advisory Services, LLC – Investment adviser representative based in Miami, Florida (registered since February 23, 2024).
Insigneo Securities, LLC – General securities representative, also in Miami, Florida (registered since February 23, 2024).
Prior registrations and employment
Morgan Stanley, Miami, Florida – Registered broker from June 2009 to February 2024; also registered as an investment adviser representative of Morgan Stanley from August 2022 to February 2024.
Morgan Stanley Private Bank, National Association, New York, New York – Financial advisor from January 2015 to February 2024.
Citigroup Global Markets Inc., Miami, Florida – Registered representative from May 2002 to June 2009.
Merrill Lynch, Pierce, Fenner & Smith Incorporated, New York, New York – Registered representative from October 1999 to May 2002.
Citicorp Investment Services, Long Island City, New York – Registered representative from August 1997 to July 1999.

Our firm is investigating Landolt Securities broker and investment adviser Jason Edward Seurer (CRD# 2541616) of Maple Plain, Minnesota for potential investment-related misconduct.
Financial Advisor’s Career History
Jason Edward Seurer has worked in the securities industry since the mid-1990s. According to his FINRA BrokerCheck report, he is currently registered as a broker with Landolt Securities, Inc. (CRD# 28352) and as an investment adviser representative with the same firm, operating out of a branch office in Maple Plain, Minnesota.
Seurer has been registered with Landolt Securities as a broker since November 2018 and as an investment adviser representative since February 2021. Before joining Landolt, he was associated with:
The Wealth Protection Group, LLC (investment adviser) in Maple Plain, Minnesota (2016–2021)
Feltl & Company (broker-dealer) in Wayzata, Minnesota (briefly in 2011)
Edward Jones (broker and investment adviser) in Milbank, South Dakota (1994–2011)

Our firm is investigating LPL Financial LLC broker and financial advisor Timothy Lee Connor (CRD# 2222028) of Redwood City, California for potential investment-related misconduct, including alleged unsuitable recommendations in real estate securities, variable annuities, and other alternative investments made while associated with prior firms.
Timothy Lee Connor’s Financial Advisor Career History
According to his FINRA BrokerCheck report, Timothy Lee Connor is currently registered as a General Securities Representative and Investment Adviser Representative with LPL Financial LLC (CRD# 6413) and works out of branch offices in Redwood City, California.
Connor has been registered with LPL Financial LLC since June 14, 2021. Before joining LPL, he spent roughly a decade with the First Allied platform, including First Allied Securities, Inc. (CRD# 32444) from October 2011 to June 2021 and First Allied Advisory Services, Inc. (CRD# 137888) from December 2011 to November 2020. Earlier in his career, he was registered with Transamerica Financial Advisors, Inc., Transamerica Capital, Inc., Wells Fargo Securities Inc., Equico Securities, Inc., and The Equitable Life Assurance Society of the United States, dating back to the early 1990s.
His reported employment history lists roles such as Financial Advisor at LPL Financial LLC (San Diego, CA), Investment Advisor Representative and Registered Representative with First Allied entities, and President of Connor Hastings, Inc. in Redwood Shores, California.

Our firm is investigating Morgan Stanley broker and financial advisor James Claude Britt (CRD# 4523267) of Vero Beach, Florida for potential investment-related misconduct.
Financial Advisor’s Career History
According to FINRA BrokerCheck, James Claude Britt has been in the securities industry since 2002. He is currently registered as a General Securities Representative and investment adviser representative with Morgan Stanley (CRD# 149777), working out of the firm’s Vero Beach, Florida branch at 3525 Ocean Drive. He has been registered with Morgan Stanley as a broker since September 8, 2010, and as an investment adviser since September 17, 2010.
Britt’s registration and employment history include:
Morgan Stanley, Vero Beach, FL – General Securities Representative and Investment Adviser Representative (2010–present).
Morgan Stanley Private Bank, National Association, New York, NY – Financial Advisor (2015–present).
UBS Financial Services Inc., Vero Beach, FL – Broker and investment adviser representative (2007–2010).
UST Securities Corp., Stamford, CT – Broker (2004–2007).
PNC Capital Markets, Inc., Pittsburgh, PA – Broker (2002–2003).

Gihan Anil Fernando (CRD# 4469669) is a financial advisor and stockbroker currently registered with Cetera Investment Advisers LLC and Cetera Investment Services LLC in Houston, Texas, and our firm is investigating customer complaints and regulatory findings involving his recommendations of non-traded real estate investment trusts (REITs) and other alternative investments.

Financial Advisor’s Career History
According to FINRA BrokerCheck, Fernando has been in the securities industry since 2002.
Current Firms (2024–Present) – Fernando is currently registered as an Investment Adviser Representative with Cetera Investment Advisers LLC (CRD# 105644) and as a General Securities Representative and Texas agent with Cetera Investment Services LLC (CRD# 15340). Both firms list his branch office at 5433 Westheimer Road, Suite 800, Houston, Texas 77056.
BOK Financial (2003–2023) – For roughly two decades, Fernando was dually registered with BOK Financial Advisors and BOK Financial Securities, Inc. (CRD# 17530) in Bellaire, Texas, where he held senior roles including Senior Vice President, Senior Financial Advisor.
Morgan Stanley (2002–2003) – He previously worked for Morgan Stanley and Morgan Stanley DW Inc. (CRD# 7556) in Houston, Texas and Purchase, New York early in his career.