Realta Equities

Broker Kenneth Hast in Realta Equities, INC. Firm Has Customer Complaint

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Hast (Hast), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hast 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 $240,000.00 on November 05, 2025.

Claimant alleges failure to properly supervise and ensure compliance with its own internal policy limited customer allocations to more than 35% in Alternative Investments.

There are Recent Customer Complaints with Broker Vincent Annable in Firm Realta Equities, INC.

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Annable (Annable), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Annable recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $600,000.00 on April 13, 2022.

Claimants allege: negligence, breach of fiduciary duty, breach of contract, negligent supervision, violation of securities laws, and fraud.

There are Recent Customer Complaints with Broker Dan Holzer in Firm Realta Equities, INC.

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Holzer (Holzer), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holzer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 16, 2024.

Breach of fiduciary duty, suitability, Fraudulently or negligently made material misrepresentations and omissions of material information, Violation of FINRA rules 2010, I-M-2310-2, and 2020, breach of contract

Broker Christopher Wright in Realta Equities, INC. Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $125,000.00 on August 28, 2025.

The claimant alleges unsuitable, illiquid, and high-risk alternative investments.

There are Recent Customer Complaints with Broker James Van Meter in Firm Realta Equities, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Van Meter (Van Meter), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Meter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $349,482.90 on June 29, 2022.

Client alleges that the representative recommended unsuitable investments beginning in 2020.

There are Recent Customer Complaints with Broker Wayne Stewart in Firm Realta Equities, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Stewart (Stewart), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stewart recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,001.00 on June 24, 2022.

Claimant alleges unsuitable recommendations, material misrepresentations, violation of fiduciary duty and fair dealing with customers, and failure to supervise.

There are Recent Customer Complaints with Broker Todd Gottel in Firm Realta Equities, INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Gottel (Gottel), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gottel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 25, 2022.

ALLEGATIONS SPECIFICALLY RELATED TO GWG “L-BONDS”. CLAIM ALLEGES BREACH OF CONTRACT, VIOLATION OF STATE SECURITIES STATUTES, BREACH OF FIDUCIARY DUTY, CLAIMS UNDER COMMON LAW, AND VICARIOUS LIABILITY.

Broker Kari March in Realta Equities, INC. Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kari March (March), previously associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that March recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on October 14, 2022.

Claimants alleged their assets were mishandled by misrepresenting the investments recommended and investing them in high risk and illiquid investments.

There are Recent Customer Complaints with Broker Thomas Shultz in Firm Realta Equities, INC.

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shultz (Shultz), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shultz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on April 05, 2023.

The customer alleged damages related to an investment solicited by Mr. Shultz.

Broker Charles Lewis Iii in Realta Equities, INC. Firm Has Customer Complaint

September 2, 2025 | by Staff Attorney

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.