Investors potentially experienced sales practice violations by securities broker Carmen Dean Morrone Jr. [CRD: 1898874, Wantagh, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morrone has been registered with Realta Equities Inc. since May 12, 2022, and previously worked for B. Riley Wealth Management from October 29, 2021, to May 13, 2022, National Securities Corporation from July 2, 2020, to May 13, 2022, and Muriel Siebert Co. Inc. from September 17, 2018, to July 6, 2020. Read on to learn more about Morrone’s disclosures.
Particularly, a Realta Equities Inc. client filed FINRA Arbitration No. 26-00210 on January 29, 2026, concerning Carmen Morrone. Mainly, the client alleged that Morrone failed to perform due diligence and failed to disclose information. Because of this, the client allegedly incurred damages related to DST investments. Therefore, the client requested $237,816.53 in compensation from Realta Equities Inc. or Morrone. This arbitration is ongoing.
Also, on January 16, 2026, a Realta Equities Inc. client filed FINRA Arbitration No. 26-00078 about Carmen Morrone. Primarily, the client alleged that Morrone failed to perform due diligence and made omissions. For this reason, the client allegedly sustained damages linked to DST investments. Consequently, the client requested $1,000,000 in compensation from Realta Equities Inc. or Morrone. BrokerCheck shows that this arbitration is ongoing.
Specifically, on January 12, 2026, a Realta Equities Inc. client filed FINRA Arbitration No. 26-00068 about Carmen Morrone. Mainly, the client alleged that Morrone made omissions and failed to perform due diligence. Because of this, the client allegedly incurred damages connected to alternative investments. As a result, the client requested $561,303.24 in compensation from Realta Equities Inc. or Morrone. BrokerCheck shows that this arbitration is pending a resolution.
Additionally, a client of CIBC World Markets Corp. contested Morrone’s sales practices, according to a complaint dated March 5, 2003. Allegedly, Morrone made unsuitable recommendations. It appears that Morrone allegedly caused the client to sustain damages connected to variable annuities. Consequently, the client sought compensation from CIBC World Markets Corp. or Morrone in the amount of $43,000 in this matter. However, the firm denied this complaint.
Are you concerned about investments you made through Carmen Morrone? Get in touch with Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the United States. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Morrone and brokerage firms Morrone worked for deny allegations of sales practice violations.
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An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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