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Andrew Hauber Allegedly Misrepresented an Annuity

Andrew Hauber (CRD #: 5301283), a broker registered with DFPG, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on August 30, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On June 11, 2024, an investor alleged that Andrew Hauber misrepresented the features of an annuity. The investor is seeking $97,533.21. 

Investors should know that this is the second investor dispute on his record. 

Misrepresentation 

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule.

Kurta Law Can Help 

If you worked with Andrew Hauber and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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