Avantax Investment Services, Inc. Broker Saul Rothberger Accused of Unsuitable Investment Recommendations

Avantax Investment Services, Inc.

There are options for clients of Avantax Investment Services, Inc. broker Saul Rothberger (CRD# 2914820), who lost money due to unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Brooklyn, New York, since 2005. 

Saul Rothberger Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

November 2022. “Client alleged the representative utilized an unsuitable investment strategy.” The case is currently pending. The complaint was regarding common and preferred stocks.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Avantax Investment Services, Inc. may be liable for investment or other losses suffered by Saul Rothberger’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.