Articles Tagged with Realta Equities

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmen Morrone (Morrone), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrone 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 $561,303.24 on January 13, 2026.

Claimants allege failure of due diligence and dislcosure.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert 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 pending customer complaint on December 18, 2025.

The claimants allege they were directly lied to and facts were misrepresented about investments.

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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 pending customer complaint with a damage request of $103,000.00 on December 30, 2025.

Ignored their customer’s explicit instructions and instead recommended speculative securities.

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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 pending customer complaint with a damage request of $245,000.00 on December 03, 2025.

The claimant alleges unsuitable investments.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gilbert Conrad (Conrad), previously associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, 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 $415,000.00 on November 14, 2025.

Statement of Claim alleges the investments were not suitable; however, is unclear about which investments were not suitable and is not plead with any level of particularity regarding the claims against each of the three broker-dealers it names. The SOC calls out only two specific instances (one in May of 2021 related to Hospitality Investors Trust filing bankruptcy and one in March 2025 related to a reverse split by SmartStop Self-Storage) to support its lack of suitability claim.

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Currently financial advisor Ashley Romiti (Romiti), currently employed by brokerage firm Realta Equities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on October 21, 2025.

Alleges unsuitable purchased of several DSTs (Private Placements) from 03/14/22 though 12/11/23

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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.

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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.

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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

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