Vince Annable – Realta Equities Broker in Scottsdale, Arizona: Investor Complaints, Red Flags & Haselkorn & Thibaut Investigation
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Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into Vince Annable (CRD# 1033573), an Arizona-based financial advisor at Realta Equities. If you are an investor who has experienced losses while working with Mr. Annable or are concerned about your investments and advice received, please read on for a comprehensive review of his professional background, reported investor complaints, and important steps you can take to protect your interests.
Who is Vince Annable?
- Name: Vince Annable
- Broker-Dealer: Realta Equities, Inc.
- Investment Adviser: Transce3nd, LLC
- CRD Number: 1033573
- Location: Scottsdale, Arizona
- Securities Industry Experience: 29 years
- Licenses: 35 state licenses
- Industry Exams Passed: Series 6, 7, 24, 63, 65, SIE
- Past Affiliations: Coastal Investment Advisors, Wealth Strategies Advisory Group, Arete Wealth Advisors, Center Street Securities, Newbridge Securities, Compak Securities, CBS Advisors, Community Bankers Securities, American Trading Securities, Planned Investments, Royal Alliance Associates, VCG Securities
Overview of Investor Disclosures & Complaints
Investors have the right to understand both the experience and any red flags associated with their financial professionals. Below is a summary of all known complaints disclosed against Vince Annable:
| Date Filed | Allegations | Status/Outcome | Firm(s) Involved | Damages |
|---|---|---|---|---|
| Dec 2025 | Alleged misrepresentation of alternative investments and directly “lying” to customers | Pending | Realta Equities, Wealth Strategies Advisory Group, Transce3nd, VFO Consulting Group | Unspecified |
| 2022 | Negligence, breach of fiduciary duty, securities law violations, fraud, breach of contract | Settled | Newbridge Securities, Center Street Securities | $100,000 |
| 2021 | Lack of due diligence, unsuitable recommendations, over-concentration in alternative investments | Settled | Center Street Securities | $31,000 |
Regulatory and Legal Record
- No FINRA disciplinary actions or regulatory fines have been reported as of February 14, 2026.
- No SEC enforcement actions, administrative proceedings, or injunctions.
- No state securities regulator actions reported.
- No civil lawsuits, arbitrations, or customer arbitrations found in federal or state dockets.
- No liens, bankruptcies, or judgments have been recorded.
For the most current regulatory status, you may independently verify via FINRA BrokerCheck.
Analysis: Key Red Flags for Investors
- Multiple recent investor complaints: The presence of three investor complaints in the last five years—two of which ended in sizable settlements—raises questions about the nature of recommendations and disclosures provided to clients.
- Alternative investments focus: Allegations centered on misrepresentation and over-concentration in alternative investments are concerning. These investment types often carry higher risk and may not be suitable or fully understood by every investor.
- Allegations of misrepresentation and breach of fiduciary duty: Claims that an advisor directly “lied” or failed in due diligence and fiduciary responsibilities should not be taken lightly. Such behavior, if substantiated, may indicate significant deviation from industry standards of care and transparency.
- Large settlements: Investor disputes settled for $100,000 and $31,000 demonstrate that clients suffered real financial harm, further reinforcing the need for closer examination by affected clients.
What Should You Do If You Have Been Affected?
If you are a client or former client of Vince Annable, Realta Equities, or affiliated firms, and you have concerns about losses or how your investments were handled, it is important to take proactive steps:
- Review your account statements for evidence of high-risk or alternative investments.
- Take note of any communications that may have been misleading or omitted key facts.
- Understand your rights as an investor and the regulatory standards your advisor was bound to uphold.
- Consider your recovery options—clients may be eligible for compensation through FINRA arbitration or other legal actions.
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut, with over 50 years of securities law experience, a 98% success rate, and millions recovered nationwide, represents investors in claims against financial advisors and brokerage firms. There are no fees unless you recover.
- Confidential, No-Obligation Case Review: Speak directly with an experienced lawyer to explore your situation, risk-free.
- Nationwide Representation: Haselkorn & Thibaut assists investors in every state.
- Proven Results: Decades of experience in alternative investment cases, complex product misrepresentation, and breach of fiduciary duty.
Contact Haselkorn & Thibaut now for your free, confidential consultation at 1 888-885-7162. Don’t wait—timely action may be critical to maximizing any potential recovery.
Summary for Investors
While the majority of financial professionals work diligently for their clients, the background and disclosures of Vince Annable show a pattern of investor complaints and allegations related to the suitability and honesty of his recommendations. If you suspect your interests were not properly served, consultation with a knowledgeable, client-focused securities attorney—such as the team at Haselkorn & Thibaut—can provide clarity on whether you have a claim and help guide you to a potential recovery.
Take the next step towards protecting yourself and your family’s investments. Call Haselkorn & Thibaut: 1 888-885-7162 – there is no cost and no obligation.
