Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Nebel (Nebel), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nebel 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 $7,000.00 on March 16, 2022.
Customer alleged an unauthorized trade was placed in her account on 3/16/2021.