Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herman Hague (Hague), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Hague recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 28, 2023.
The customer alleges that in 2005, rep failed to advise her a beneficiary ira was required to be withdrawn over a 10-year period causing her incur increased tax liability in 2022 when the ira was distributed.