Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Ryan Fleming: REIT Complaint Against Pacific Capital Advisor

Bellevue financial advisor Ryan Fleming (CRD# 4378425) has received investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Pacific Capital Resource Group, offering securities and advisory services through Royal Alliance Associates. 

Mr. Fleming’s BrokerCheck report discloses several recent investor complaints that reached settlements. The most recent, filed in August 2020, alleged that as a representative of Hornor Townsend & Kent, he recommended unsuitable non-traded real estate investment trusts (REITs). In 2021 the complaint reached a settlement of $85,000.

A second complaint, filed in 2021, alleged that while a representative of Hornor Townsend & Kent, he breached his fiduciary duty, recommended unsuitable investments, and engaged in negligence. In June 2022 the complaint reached a settlement of $50,000.

According to the Financial Industry Regulatory Authority, Ryan Fleming holds 21 years of securities industry experience. Based in Bellevue, Washington, he has been a broker and investment advisor registered with Royal Alliance Associates since 2020. He is a representative of Pacific Capital Resource Group, which offers securities and advisory services through Royal Alliance Associates. His past registrations include Hornor Townsend & Kent (Bellevue, Washington; 2001-2020) and Advisory Resource Group (Bellevue, Washington; 2007-2016). His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the General Securities Representative Examination, or Series 7. He is licensed in Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Indiana, Minnesota, Montana, North Carolina, Oregon, Pennsylvania, South Carolina, Texas, Utah, Washington, and West Virginia. (Information current as of July 19, 2022.)

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Steven Hirata: FINRA Sanctions, Bars Ex-PFS Investments Advisor

    Former Fresno financial advisor Steven Hirata (CRD# 1188927) was recently sanctioned by the Financial Industry Regulatory Authority for allegedly refusing...

    Read More
  • Rod Thomas: GPB Auto Complaint Against Former SCF Securities Advisor

    Boca Raton financial advisory Rod Thomas (CRD# 4010563) recommended an unsuitable investment in GPB Automotive, according to a recent investor...

    Read More
  • Scott Brooks: GPB Capital Complaint Against Gold Coast Advisor

    San Clemente, California financial advisor Scott Brooks (CRD# 3235252) recently received an investor complaint alleging he engaged in negligence and...

    Read More
  • SEC Charges Against Western International Securities: GWG L Bonds

    The US Securities and Exchange Commission has filed charges against Western International Securities and five of the firm’s brokers: Nancy...

    Read More
  • Previous
  • Next