Craig Allen Hauger of Goodyear, Arizona, a stockbroker registered with Woodbury Financial Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $25,000.00 in damages based upon allegations that Hauger made the unsuitable investment recommendation of alternative investments during the time that Hauger was associated with Woodbury Financial Services Inc. FINRA Arbitration No. 21-02204 (November 23, 2021).
This is not the first time that Hauger has been referenced in a customer initiated investment related dispute concerning Hauger’s conduct in the securities industry. FINRA Public Disclosure shows that Hauger is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled to resolve allegations that Hauger made misrepresentations of material fact in connection with the sale of BDCs during the period that Hauger was associated with Questar Capital Corporation. FINRA Arbitration No. 21-01419 (July 29, 2022).
Hauger has been associated with Osaic Wealth Inc. in Goodyear, Arizona since January 19, 2024. He was associated with Woodbury Financial Services Inc. from March 1, 2019, to January 19, 2024, Questar Asset Management Inc. from September 10, 2014, to March 1, 2019, and Questar Capital Corporation from September 2, 2014, to March 1, 2019.
