Haselkorn & Thibaut Opens Investigation into Ashley Romiti, Realta Equities – San Juan Capistrano, California
Investors in California—and nationwide—are growing increasingly vigilant about the backgrounds of their financial professionals. Haselkorn & Thibaut (investmentfraudlawyers.com), a national securities fraud law firm, has initiated an investigation into Ashley Romiti (CRD# 7636987), a financial advisor based in San Juan Capistrano, California, currently registered with Realta Equities and Realta Investment Advisors. With the stakes high for investors, understanding the facts behind recent disclosures and the tools to resolve any concerns is critical.
Who is Ashley Romiti?
Ashley Romiti is currently listed as both a broker with Realta Equities and an investment advisor with Realta Investment Advisors, operating out of San Juan Capistrano, California. Her professional background includes prior appointments with notable firms such as Emerson Equity (2018–2021) and Arkadios Capital (2017–2018). With three years of experience in the securities industry, she has passed rigorous industry examinations, holding the SIE, Series 7TO, and Series 66 licenses, and maintains registrations across 53 states.
Recent Investor Complaint: Key Details
A major development occurred in October 2025 when an investor complaint was lodged against Ashley Romiti. The complaint focuses on her time as a registered representative with Emerson Equity and Arkadios Capital, where from March 2022 to December 2023, she is alleged to have recommended unsuitable investments in Delaware Statutory Trust (DST) private placements. The investor claims these recommendations led to damages, though the specifics and amount remain undisclosed at this time. The case is currently pending.
Understanding Unsuitable Recommendations under FINRA Rules
FINRA Rule 2111 requires brokers to make recommendations only when they are suitable for the investor’s profile, goals, and financial capacity. This means:
- Full understanding of the product being recommended and whether it aligns with the client’s needs and risk tolerance.
- Reasonable diligence in analyzing both the investment and the client’s background before making a recommendation.
- Ensuring that a series of investments (not just individual transactions) are suitable for the investor’s total financial profile.
If a broker like Ashley Romiti makes recommendations deemed unsuitable under these standards, they may be held liable if clients experience investment losses.
Summary Table: Ashley Romiti’s Professional Background
| Detail | Information |
|---|---|
| Name | Ashley Romiti |
| CRD Number | 7636987 |
| Current Firms | Realta Equities (Broker) Realta Investment Advisors (Investment Advisor) |
| Prior Firms | Emerson Equity, Arkadios Capital |
| Licenses | SIE, Series 7TO, Series 66 53 state registrations |
| Location | San Juan Capistrano, CA |
A Closer Look at Disclosure Records
A review of publicly available records, such as FINRA BrokerCheck (as of the most recent update), shows no disciplinary regulatory actions, civil judgments, or prior customer complaints against Ashley Romiti before October 2025. Her SEC and state registration records are clear of enforcement actions or ongoing investigations. However, the emergence of the pending investor complaint related to unsuitable investments represents the first such disclosure on her record.
What Does This Mean for Investors?
Investors should note that while a single investor complaint does not prove wrongdoing, it is a critical red flag warranting attention—especially when it alleges losses tied to unsuitable advice in complex, illiquid products like DST private placements. These types of investments are not appropriate for every investor and may carry higher risks, limited liquidity, and complicated tax implications.
Potential Red Flags for Investors
- Recommendations involving high-risk or illiquid private placements
- Lack of detailed explanation about investment risks and alternatives
- Investments not matched to your time horizon, risk tolerance, or liquidity needs
- Sudden losses, unexplained statements, or difficulty accessing investment funds
If you believe you were recommended investments that did not align with your profile or have experienced losses in DST or similar private placements, professional guidance is essential.
Complete List of Known Complaints Against Ashley Romiti
- October 2025: Pending customer complaint (Emerson Equity/Arkadios Capital), alleges unsuitable DST private placements (March 2022–December 2023). Damages unspecified; status pending.
At the time of this report, no additional customer complaints, regulatory actions, or arbitration matters have surfaced in the public record for Ms. Romiti. BrokerCheck reflects no other disclosure events.
What To Do If You Have Concerns?
Haselkorn & Thibaut has extensive experience assisting investors nationwide in pursuing claims against financial advisors and broker-dealers for investment losses due to unsuitable recommendations, misrepresentation, and more. Our team recognizes the stress and financial impact these situations create and is here to help you understand your legal options.
Why Choose Haselkorn & Thibaut?
- No recovery, no fee – You pay nothing unless we recover money for you
- 98% success rate, hundreds of millions recovered for investors
- Over 50 years of combined experience with complex investment cases
- Proven results in cases involving DSTs and alternative investments
Act Now for a Free, Confidential Consultation
If you worked with Ashley Romiti—at Realta Equities, Realta Investment Advisors, Emerson Equity, or Arkadios Capital—and have questions or concerns regarding your investments, now is the time to act. Our attorneys will review your situation confidentially at no cost and provide candid guidance about your recovery options.
Call Haselkorn & Thibaut at 1-888-994-8066 today or visit our website for your free consultation. Don’t delay—your rights as an investor matter, and help is just a call away.
Remember: Monitoring your advisor’s public record is a smart step in protecting your financial future. Stay informed, stay empowered, and connect with seasoned professionals when you need support navigating complex financial products or when red flags arise.
