Realta Equities

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.

There are Recent Customer Complaints with Broker Jennifer Lander in Firm Realta Equities, INC.

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Lander (Lander), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lander 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 January 18, 2024.

Claimant alleges unsuitable investments.

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

March 16, 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 2 disclosable events. These events include 2 customer complaints, 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 $90,000.00 on October 01, 2024.

The claimant alleges unsuitable investments.

Broker Thomas Lisk in Realta Equities, Inc. Firm Has Customer Complaint

March 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Lisk (Lisk), currently associated with Realta Equities, Inc., has at least 10 disclosable events. These events include 10 customer complaints, alleging that Lisk 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 October 29, 2024.

The claimants allege unsuitable investments.

Broker Donald Wells in Realta Equities, Inc. Firm Has Customer Complaint

February 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Wells (Wells), currently associated with Realta Equities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wells 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 $170,000.00 on October 31, 2024.

Claimant alleges unsuitable investments.

There are Recent Customer Complaints with Broker Gilbert Conrad in Firm Realta Equities, Inc.

February 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gilbert Conrad (Conrad), currently associated with Realta Equities, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Conrad 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 $500,000.00 on December 06, 2024.

Unsuitable products sold from 2001 to 2016 which the registered representative was not registered with Arkadios and the customer was never a client of Arkadios Capital.

There are Recent Customer Complaints with Broker Jack Thacker in Firm Realta Equities, Inc.

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Thacker (Thacker), previously associated with Realta Equities, Inc., has at least 19 disclosable events. These events include 19 customer complaints, alleging that Thacker 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 December 02, 2024.

Client alleges unsuitable investment recommendation.