Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Lewis Iii (Lewis Iii), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lewis Iii recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on May 17, 2023.
[REDACTED] alleges that the unsolicited investment he made in March, 2021 into Strategic Energy Assets VIII Access Fund, which has provided tax benefits and distributions, was inappropriate.