Claims Regarding Brian Cantel

FINRA BrokerCheck contains information about whether customers have made complaints against financial advisors like Brian Cantel.  According to BrokerCheck, he has been the subject of three customer complaints since 2021. This includes a 2025 customer complaint alleging $1.5 million in losses in real estate investments and private placements. 

Also, it has been disclosed on a Form D filed with the SEC that Brian Cantel received compensation for selling investments in Inspired Healthcare Capital Fund LP.  Inspired Healthcare filed for bankruptcy, and investors are likely to suffer significant losses in this investment. They may be able to recover losses with the help of Israels & Neuman PLC.

Background on Brian Cantel

Brian Cantel has been licensed with Berthel Fisher since 2006 at a Southfield, Georgia office, as well as a Flowery Branch office.  Cantel has been in the securities industry since 1987. 

Can Berthel Fisher Be Liable for the Conduct of Brian Cantel?

FINRA Rule 3110 provides that brokerage firms have obligations to sufficiently supervise the activity of its advisors.  Berthel Fisher could be liable if it failed to reasonably supervise him, considering factors such as the numerous customer complaints made against him.

We Help Investors in Georgia

We represent investors throughout Georgia, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.   If you were a client of Brian Cantel and believe he acted improperly, you may be entitled to recover losses through Israels & Neuman law firm with a FINRA arbitration claim.

• View BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We are standing by to help you recover what you deserve.

Allegations Regarding Roger Roemmich

In May 2025, Roemmich was allowed to voluntarily resign by Alexander Capital. He allegedly was “was the subject of a written customer complaint alleging that he had made unsuitable recommendations and the subject of a customer initiated civil suit alleging, among other things, that he had committed fraud, securities fraud, and had breached his fiduciary duties.”

FINRA then started its own investigation into Roemmich.  He did not cooperate with FINRA’s investigation, and as such, he was barred under FINRA Rule 8210.  Roemmich has now faced three customer complaints alleging misrepresentations about private placements.

Background on Roger Roemmich

Roger Roemmich was licensed with Alexander Capital from October 2020 to May 2025.  He was also with Dempsey Lord Smith from October 2016 to October 2020 and worked in Alpharetta, Georgia.

Is Alexander Capital Potentially Liable for Customer Losses?

FINRA standards provide that brokerage firms like Alexander Capital must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

We Help Investors in Georgia

We represent investors throughout the United States as well as Georgia, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Roger Roemmich and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Roemmich’s BrokerCheck Report
• View Roemmich’s FINRA AWC

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. Israels & Neuman can help you recover the money you deserve.

Did you invest in First Liberty Building & Loan with Timothy Nathaniel Darnell, also known as Nathaniel Darnell, of Bankers Life Securities? The law firm of Israels & Neuman is looking into allegations involving this advisor, who formerly was a representative with Bankers Life Securities and worked in an Atlanta, Georgia office.  Darnell was fired in September 2025 by both Bankers Life Securities and Bankers Life Advisory Services.  He primarily goes by his middle name, Nathaniel.

Allegations Regarding Nathaniel Darnell

FINRA’s BrokerCheck discloses that Timothy Nathaniel Darnell was fired by Bankers Life Securities for the following: “1. Failure to disclose outside business activities (OBA), 2. Participation in undisclosed and unapproved private securities transactions (PST), 3. Use of off-channel communications with clients and not following firm policies and procedures related to such.”  Under FINRA Rule 3280, financial advisors must get prior approval from their firm to sell any investment.

This termination was likely triggered by a customer complaint that was made in September 2025.  The customer alleged losses of $1,000,000 from investments in First Liberty Building & Loan.  The customer alleged that First Liberty Building & Loan was a PONZI Scheme run by Edwin Brant Frost IV.

Background on Timothy Nathaniel Darnell

Nathaniel Darnell was licensed with Bankers Life Securities from August 2016 to September 2025 at a Atlanta, Georgia office.   He also sold insurance through Bankers Life, and he was also affiliated with Keith Cochran, CPA.

Is Bankers Life Securities Responsible for Darnell’s Conduct?

FINRA Rule 3110 states that securities broker-dealers like Bankers Life Securities must adequately monitor the activity of its advisors.  Bankers Life Securities could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors in Georgia

Our specialized law firm represents investors throughout the United States including Georgia, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Timothy Nathaniel Darnell and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Darnell’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

We always offer Free Consultations. If we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you!

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

According to allegations disclosed on FINRA’s BrokerCheck, Ejiro Okuma of Atlanta, Georgia, was permitted to resign by Equitable Advisors in June 2025.  Equitable Advisors disclosed that Okuma “resigned after the Firm suspended him due to allegations of misappropriation by a non-Equitable Advisors’ client”.

The resignation occurred just about two weeks after a customer complaint was filed.   In early June 2025, a customer filed a complaint in FINRA arbitration.  The complaint alleged that Okuma “misappropriated funds from him”.   No dollar amount of losses was listed, but the claim was alleged to be over $5,000.  If You lost money with this advisor, you may be eligible to file a claim for losses.

Who is Ejiro Okuma?

Ejiro Okuma worked in an Atlanta, Georgia office while registered with Equitable Advisors from May 2023 to June 2025.  He was also previously affiliated with Edward Jones from 2010 to May 2023.  Mr. Okuma also owned and operated Okuma Capital Management in Georgia.

Can I Recover My Investment Losses?

Yes—investors have the right to pursue claims through FINRA arbitration, a legal forum designed to help recover funds lost due to broker misconduct or unsuitable investment recommendations.

Ejiro Okuma may be individually liable for misrepresentation, unsuitable advice, or breach of fiduciary duty. However, Equitable Advisors may also bear responsibility if they failed to properly supervise Okuma or ignored warning signs.

We Represent Investors in Georgia and Across the Country

At Israels & Neuman, we have helped thousands of investors nationwide recover money lost to financial advisor misconduct and represent investors throughout Georgia.  Our attorneys have extensive experience handling claims involving investment schemes.

Free Case Review — Speak to a Securities Fraud Attorney Today

If you invested with Ejiro Okuma, contact us at 720-599-3505 or 206-795-5798 for a free case evaluation.

If we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you!

(720) 599-3505 or (206) 795-5798

www.IsraelsNeuman.com

DALTON, GEORGIA Are you a former client of financial advisor Ashlee Godfrey in Dalton, Georgia? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against this advisor, who previously worked with Wells Fargo from 2014 to October 2021. In September 2024, she was barred from the securities industry by FINRA when she refused to respond to a FINRA investigation.

Ashlee N. Godfrey was being investigated by FINRA regarding allegations from her former customers that she misrepresented that their investments were “insured” but instead lost money. She also allegedly sent electronic communications through an app that was not approved by Wells Fargo.

Ashlee Godfrey was registered with Wells Fargo, as well as Benjamin F. Edwards & Company. She worked in Dalton, Georgia.

Firms like Wells Fargo must reasonably supervise the conduct of their financial advisors. If they don’t, they could be liable for investor losses. Our law firm that has represented thousands of investors in the past, including numerous investors in Georgia.

VIEW FINRA AWC HERE VIEW BROKERCHECK REPORT HERE

If you lost money with Ashlee Godfrey, or Wells Fargo, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

ALPHARETTA, GEORGIA Are you a former client of financial advisor Matthew Chimento in Alpharetta, Georgia? Israels & Neuman is reviewing allegations against this broker, who previously worked with Morgan Stanley (Prudential). He was barred from the securities industry by FINRA, according to FINRA’s Disciplinary Database.

In November 2023, Matthew Chimento voluntarily resigned from Morgan Stanley while he was under an internal investigation. According to BrokerCheck, he allegedly transferred funds out of a client’s account and placed it into an account for his own benefit, without the client’s authorization, (breach of fiduciary duty), which led to the FINRA investigation. After failing to respond to FINRA’s investigation, he was barred.

Matthew Chimento was registered with Morgan Stanley from March 2023 to November 2023 and worked in Alpharetta, Georgia. He also previously worked for E*Trade for five years.

Israels & Neuman has represented thousands of investors in the past, including numerous investors in Georgia. We have represented investors against numerous brokerage firms, including against Morgan Stanley.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Matthew Chimento, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

Thomas Kudarauskas has been a registered representative of Woodbury Financial Services from 2007 to the present. He has worked at branch offices in Atlanta, Georgia.

Brokerage firms like Woodbury Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Georgia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Woodbury Financial Services.

CLICK TO VIEW BrokerCheck: Kudarauskas, t BrokerCheck 6.10.21

If you lost money with Thomas Kudarauskas or Woodbury Financial Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.