Investors may have suffered financial harm by securities broker Benjamin Isaac Carmona (also known as Ben Carmona) [CRD: 5120428, San Juan Capistrano, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carmona worked for Emerson Equity LLC from August 7, 2020, to August 15, 2023, Arkadios Capital from August 9, 2023, to March 28, 2025, and has been registered with Realta Equities Inc. since March 3, 2025. See below to learn more about a client dispute disclosed on FINRA BrokerCheck.
Specifically, on April 7, 2026, an Emerson Equity LLC client filed FINRA Arbitration No. 26-00387 about Benjamin Carmona. Primarily, the client alleged that Carmona made misrepresentations, made omissions, breached his fiduciary duty, breached a contract, was negligent, and violated FINRA rules, state securities laws, federal securities laws, and Regulation Best Interest obligations. Because of this, the client allegedly experienced damages on real estate securities. Consequently, the client requested $200,000 in compensation from Emerson Equity LLC or Carmona. BrokerCheck shows that this arbitration is awaiting a resolution.
A breach of fiduciary duty involving real estate securities generally occurs when a securities broker or financial advisor fails to act in a client’s best interests when recommending or managing investments tied to real estate. Examples may include placing personal compensation ahead of client interests, recommending unsuitable real estate securities, failing to disclose important risks, or not providing complete and accurate information needed for investment decisions.
Do you need guidance on any investment losses relating to Benjamin Carmona? You can contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, our securities lawyers work on a contingency fee basis and advance all costs. Carmona and brokerage firms Carmona worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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