Investors might have sustained losses due to securities broker Harold Francis Puhl (also known as Chip Puhl) [CRD: 1045552, Dallas, Texas], according to disclosures on FINRA BrokerCheck. Notably, Puhl joined Cetera Wealth Services LLC on October 17, 2002, and Cetera Investment Advisers LLC on June 29, 2023. He was previously registered with Cetera Advisor Networks LLC from April 6, 2006 to June 29, 2023. Below, you can learn more about the disclosures involving Harold Puhl.
Specifically, a client brought a complaint about Harold Puhl. The client alleged that Puhl made unsuitable recommendations. For this reason, the client allegedly experienced damages connected to real estate securities. Consequently, on December 26, 2024, Cetera Advisor Networks LLC settled this matter by paying the client $32,000.00 in damages.
In three additional disputes, Harold Puhl was accused of mishandling client accounts. In a complaint dated February 25, 2002, a client alleged account mishandling resulting in $800,000.00 in claimed damages. A similar complaint from December 7, 2001, also alleged mishandling and was settled. An earlier matter from October 1, 1988, involved claims of excessive trading. His former firm settled the case for $50,000.00. Puhl maintained that the complaints had no basis.
Do you have questions or concerns about investments you made through Harold Puhl? If so, contact Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer. For years, Soreide Law Group has recouped losses for investors throughout the country. Also, the firm takes investor cases on a contingency fee basis and advances the costs. Puhl and brokerage firms Puhl worked for deny allegations of sales practice violations.
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