Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramon Haile (Haile), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haile recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 26, 2024.
Customer alleged in 2015 the representative recommended an unsuitable investment.