Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Haffling (Haffling), previously associated with Arete Wealth Management, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Haffling 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 $730,000.00 on September 14, 2021.
SALE OF UNSUITABLE, ILLIQUID, HIGH-RISK AND HIGH COMMISSION INVESTMENTS TO CLAIMANTS IN THEIR INDIVIDUAL AND IRA ACCOUNTS.