Can you recover losses due to recommendations by former Emerson Equity LLC and Arkadios Capital broker Ashley Romiti (CRD# 7636987), who is accused of private placement losses?
She has been registered with Concorde Investment Services, LLC in Ann Arbor, Michigan, since 2025. He was registered with Realta Equities, Inc. in San Juan Capistrano, California, from March to December 2025, Arkadios Wealth Advisors in San Juan Capistrano, California, from 2023 to 2025, and Emerson Equity LLC in Irvine, California, from January to November 2023.
Ashley Romiti Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
October 2025. “Claimant alleges that respondents did not conduct a reasonable due diligence on several dst (private placement) investments made from 3/14/22 through 12/11/23 and that these investments were misrepresented to him, and that these investments were unsuitable for him because they were misrepresented to him and claimant, therefore, did not understand the investments. these recommendations were also unsuitable for claimant in view of his financial situation, needs and risk tolerance.” The case is currently pending. The complaint was regarding DSTs and private placements, and it took place while he was registered with Emerson Equity LLC and Arkadios Capital.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Emerson Equity LLC and Arkadios Capital may be liable for investment or other losses suffered by Ashley Romiti’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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