Tony Hazen: Fraud Complaint Against Vistia, Ex-Patrick Capital Advisor

A recent investor complaint against Lone Tree, Colorado financial advisor Tony Hazen (CRD# 2384836) alleges that he committed fraud and made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with Vistia Capital, having previously been registered with Patrick Capital Markets.

Mr. Hazen’s BrokerCheck report discloses one investor complaint. Filed in August 2026, it alleges that as a representative of Patrick Capital Markets, he recommended unsuitable investments, committed fraud, breached contract, acted negligently, breached his fiduciary duty, and violated California securities law. The pending complaint alleges unspecified damages.

Investors should be aware that industry rules and standards forbid advisors like Mr. Hazen from misrepresenting material facts relating to the investments they recommend to their customers. FINRA Rule 2020 specifically stipulates that no broker 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, for reference, is a piece of information that would pose a significant consideration to investors considering a product or strategy, such as the product’s liquidity or whether it protects the investor’s principal. Brokers who misrepresent investments may be liable in the event of losses and/or subject to disciplinary action.

According to the Financial Industry Regulatory Authority, Tony Hazen holds 24 years of securities industry experience. Based in Lone Tree, Colorado, he has been registered as a broker with Vistia Capital since 2021. His past registrations include Patrick Capital Markets, ESF Equity, Select Capital, Cantor Fitzgerald, Nexbank Securities, Bluerock Capital Markets, Orchard Securities, Omni Brokerage, Crucible Capital Group, Altegris Investments, Painewebber, Kidder Peabody, Waterhouse Securities, Smith Barney Shearson, and Chatfield Dean. His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 51 state licenses. (Information current as of September 19, 2026.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.