National investment loss lawyers KlaymanToskes is investigating broker Bert Takita of Equitable Advisors (CRD #5852632).
According to FINRA BrokerCheck, Bert Takita, a former broker at Equitable Advisors, was suspended and fined by FINRA for engaging in unapproved outside business activities, including insurance, real estate, and solar panel sales, without notifying his firm, violating FINRA Rules 3270 and 2010.
Investors that suffered losses with broker Bert Takita are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
On September 18, 2024, the Financial Industry Regulatory Authority (FINRA) disclosed that it took action against broker Bert Takita. While Takita worked with Equitable Advisors from 2014 to 2023, FINRA found that he was involved in several outside business activities (OBAs) which included insurance sales; the purchase, development, sale, and management of real property; and solar panel sales and installation. Takita reportedly received compensation from his insurance business and he served as an owner, manager, or member of the companies through which he conducted his real estate and solar panel businesses. FINRA found that Takita violated Rule 3270 and Rule 2010, resulting in a two month suspension from working with any FINRA member firm. Takita was also fined $5,000. Takita’s Brokercheck report discloses that he was “permitted to resign” while being investigated for not reporting these activities.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Bert Takita. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Bert Takita, or have concerns regarding your investment portfolio at Equitable Advisors, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.