Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Pugel (Pugel), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pugel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on April 03, 2024.
Customer alleged she incurred a surrender fee and market adjustment because of miscommunication of the surrender period associated with her annuity.