Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Saul Rothberger (Rothberger), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rothberger 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 $4,000,000.00 on November 30, 2022.
Client alleged the representative utilized an unsuitable investment strategy.