Investors may have incurred losses due to securities broker Ramon Lynn Haile [CRD: 2010552, Hamilton, Texas], according to publicly available information reported on FINRA BrokerCheck. Haile has worked with Avantax Investment Services Inc. since December 18, 1989, and Avantax Advisory Services since November 16, 1990. Keep reading to understand more about the allegations reported about […]

The Financial Industry Regulatory Authority, also known as FINRA, has issued a notice on their website which provides guidance to broker/dealers on the communications they have with their clients regarding unlisted real estate investment programs, including unlisted real estate investment trusts (REITs) and unlisted direct participation programs (DPPs) which invest in real estate. Recently, in […]

With mounting pressure from regulators, broker/dealers are making changes to how they sell alternative investments. VSR Financial Services Inc., Berthel Fisher & Co. Financial Services Inc. and the Cetera Financial Group Inc., which has four independent-contractor broker-dealers under its umbrella, this year have revised policies or added new guidelines and procedures for the sale of […]