Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hauber (Hauber), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hauber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $97,533.21 on June 11, 2024.
Client alleges the annuity was not suitable and that Mr. Hauber misrepresented the features of the annuity