The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against David Ray Provolt (CRD#4370566) regarding allegations made regarding the following:

Claim(s) Made Against David Ray Provolt:

Claim Date: 3/12/2020

“Customer alleged that representative did not accurately represent the tax liabilities regarding the sales of certain securities.”

This claim, as of this posting, is currently Settled with a claim amount of $75,962.00 .

The investor was paid $15,000.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for David Ray Provolt.

Were you a client of David Ray Provolt?

If you had a negative experience or issue with David Ray Provolt and FIDELITY BROKERAGE SERVICES LLC from GREENWOOD VILLAGE, CO, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as David Ray Provolt, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.

The Securities Lawyers are researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” If you were a customer of David Ray Provolt and FIDELITY BROKERAGE SERVICES LLC and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.