Robert Lloyd Annable, of Scottsdale, a stockbroker registered with Realta Equities Inc. is the subject of a investment related, customer initiated complaint FINRA securities arbitration seeking damages for alleging that he “directly lied to” the clients and misrepresented alternative investments. FINRA Arbitration No. 25-02738 (December 18, 2025).
FINRA Rule 2020 provides that no registered persons shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” A material fact is a fact that would reasonably assume actual significance to a reasonable investor in deciding whether to buy, sell or hold a security.
Alternative investments can be highly risky investments. Investors should be aware of the various types of alternatives available. The wide range of investment options, ranging from private equity, commodities and derivatives to classic artwork and automobiles exist within the realm of what would be considered alternative investing. If an investor wants to invest in a timberland or an oil & gas partnership for tax purposes due to a recommendation from a tax advisor, or wanted to invest in classic automobiles or even ownership of commercial or private aircraft due to personal interest or even to hedge against what they eat for breakfast such as wheat, orange juice or bacon (known as lean hogs in the commodities markets), many different types of investment vehicles exist that allow investors to take advantage of such opportunities.
The Guiliano Law Group, P.C.
For more than thirty years, our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or a confidential evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
If you believe that you have been the victim of misconduct or fraud, contact us for a free consultation. We handle all cases on a contingency fee basis meaning that there is no cost or obligation, unless we are able to make a recovery for you.
