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Investors Allege Rachel Lauber Gave Unsuitable Advice

Rachel Lauber (CRD #: 3027895), a broker registered with Securities America, was recently involved in an investor dispute, according to her BrokerCheck record, accessed on November 21, 2022. Investors may have also engaged her services through The Patriot Financial Group and Securities America Advisors. If you want to learn more about his conduct as a broker, read on.

Investor Dispute

On August 10, 2022, several investors filed a dispute alleging that Rachel Lauber provided “poor” advice resulting in capital gains taxes and increased Medicare premiums. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without an external review. Investors may be able to recover their lost funds by pursuing FINRA arbitration after a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Rachel Lauber has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

Rachel Lauber is a registered broker in 38 states and the District of Columbia. She is also a registered investment adviser in New York.

She has also worked for Investacorp (CRD#:7684) and PFS Investments (CRD#:10111).

Kurta Law Can Help

If you worked with Rachel Lauber and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.