Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond De Witt (De Witt), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that De Witt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 04, 2025.
Failure to conduct reasonable due diligence, violations of federal securities law, violation of Utah Securities Act, violation of California Securities Act, breach of contract, breach of fiduciary duty, and negligence.