Securities Lawyers Blog
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.