Last Updated: February 2026 — Plano, Texas
Here’s what you need to know about Plano, Texas registered investment advisor Mark A. Trewitt:
- Name: Mark Andrew Trewitt
- Current Employer: Delta Investment Management (Investment Adviser Representative); Not currently registered with any FINRA-member firm
- Prior Firms:
- VFG Securities, Inc. (Plano, TX) (not currently registered as broker)
- Niagara International Capital Limited (New York, NY)
- Madison Avenue Securities, Inc. (Plano, TX)
- Kalos Capital, Inc. (Plano, TX) (not currently registered as broker)
- Ogilvie Security Advisors Corporation (Chicago, IL) (not currently registered as broker)
- Walnut Street Securities, Inc. (El Segundo, CA) (not currently registered as broker)
- Cadaret, Grant & Co., Inc. (Syracuse, NY) (not currently registered as broker)
- AIG Equity Sales Corp. (New York, NY)
- Sun Investment Services Company (Wellesley Hills, MA)
- Other Business Affiliations: Integrated Marketing Solutions LLC (Part Owner/President); IFSG Ltd. dba Integrated Financial Solutions Group (Owner/General Partner); Insurance Funding Solutions, LLC (Owner & Managing Partner); independent insurance producer; additional marketing and consulting affiliations through IFSG entities.
- CRD Number: 1364490
- Financial Advisor: Yes
- Sanctioned by Securities Regulators: Yes, Texas State Securities Board
- Highest Award or Settlement: $200,000
- Current Customer Dispute Seeks Total Damages of: No pending disputes reported; prior matters settled
If you’ve sustained damages from Mr. Trewitt, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Mark A. Trewitt As Your Financial Advisor?
Mark Trewitt has disclosed one regulatory action and 19 customer disputes. The majority of these matters involved allegations of unsuitable recommendations and over-concentration in illiquid alternative investments, including non-traded REITs, oil & gas programs, private placements, equipment leasing programs, and other direct participation programs (DPPs).
Regulatory Suspension (Texas State Securities Board)
In June 2019, the Texas State Securities Board entered a final order suspending Trewitt for 90 days in connection with recommendations of non-listed REITs, business development companies (BDCs), private placements, and other alternative investments (the same type investments leading to the 19 customer complaints that have been settled).
The regulator found that he made recommendations without a reasonable basis to believe the investments were suitable, describing the conduct as an inequitable practice in the sale of securities. The order followed disclosures that he had been named in numerous investment-related consumer actions, many alleging excessive concentration in illiquid securities.
Between 2014 and 2021, multiple FINRA arbitrations were filed against Trewitt alleging:
- Over-concentration in illiquid alternative investments
- Unsuitable recommendations
- Misrepresentation of risks
- Breach of fiduciary duty
- Negligence
Notable settlements include:
- FINRA Case No. 17-01412 Allegations of negligence and breach of fiduciary duty relating to private placement securities (2012–2014). Settled for $200,000 in June 2018.
- FINRA Case No. 18-03208 Allegations of overconcentration and unsuitable alternative investments. Settled in December 2021 for $65,000.
- FINRA Case No. 17-02010 Allegations of negligence and breach of fiduciary duty involving non-traded REITs and alternative investments. Settled in April 2018 for $77,952.
- FINRA Case No. 17-02163 Allegations of unsuitable recommendations and misrepresentation in DPPs. Settled in April 2018 for $63,453.
Customers alleged that their portfolios were heavily concentrated in illiquid alternative investments that were inconsistent with their investment objectives and risk tolerance.
Alternative Investments
These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.
Allegations of Broker Misconduct Against Mark Andrew Trewitt
- Unsuitability
- Breach of Fiduciary Duty
- Fraud / Misrepresentation
- Over-concentration — Multiple cases alleged excessive concentration in a single asset class or investment type, which can violate suitability and supervisory obligations.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Mark Andrew Trewitt, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.
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