Ashley Romiti: DST Complaint Against Realta, Ex-Emerson Advisor

San Juan Capistrano, California financial advisor Ashley Romiti (CRD# 7636987) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively.

Ms. Romiti’s BrokerCheck report discloses one investor complaint. Filed in October 2025, it alleges that as a representative of Emerson Equity and Arkadios Capital, she recommended unsuitable investments in Delaware Statutory Trust (DST) private placements between March 2022 and December 2023. the pending complaint alleges unspecified damages.

FINRA rules prohibit brokers from making investment recommendations that are considered unsuitable for an investor. Unsuitable investments and strategies are understood as those not based in a “firm understanding of both the product and the customer,” as described by FINRA Rule 2111. This rule stipulates that brokers must conduct “reasonable diligence” to ascertain whether investments are suitable for a customer’s background and objectives. They must ensure that the recommendation is suitable for some investors; that it is suitable for the individual customer to which they are making it; and that, if they are recommending a series of transactions to a customer over whose account they have actual or de facto control, the transactions are suitable when taken together as well as when viewed in isolation. Brokers who make unsuitable investment recommendations may be liable to their clients in the event of losses.

According to the Financial Industry Regulatory Authority, Ashley Romiti holds three years of securities industry experience. Based in San Juan Capistrano, California, she has been registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively, since March 2025. Her past registrations include Arkadios Capital, Arkadios Wealth Advisors, and Emerson Equity. Her credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; and the Uniform Combined State Law Examination, or Series 66. She holds 53 state licenses. (Information current as of November 16, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.