Jan 31, 2023

James Malaussena of Berthel, Fisher & Company Financial Services, Inc.

DID JAMES VALENTINE MALAUSSENA CAUSE YOU INVESTMENT LOSSES? James Malaussena Of Berthel, Fisher & Company Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Malaussena of Berthel, Fisher & Company Financial Services, Inc.? James Malaussena (CRD #2494951) who is currently registered with Berthel, Fisher & Company Financial Services, Inc. and located in Palm Beach Gardens, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Berthel, Fisher & Company Financial Services, Inc., James Malaussena was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Malaussena Customer Complaints James Malaussena has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was denied by TD Waterhouse Investor Services. The other customer complaint is pending against Berthel Fisher and Co. Financial Services. Allegations Against James Malaussena A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Malaussena Red Flags & Your Rights As An Investor Of course, James Malaussena did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Malaussena at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Malaussena has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel, Fisher & Company Financial Services, Inc. Due To James Malaussena If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or James Malaussena and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 12, 2023

Gordon Roberts Jr. Formerly With Berthel, Fisher & Company Financial Services, Inc.

DID GORDON MORRISON ROBERTS JR. CAUSE YOU INVESTMENT LOSSES? Gordon Roberts Jr. Formerly With Berthel, Fisher & Company Financial Services, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Who is Gordon Roberts Jr. Formerly With Berthel, Fisher & Company Financial Services, Inc.? Gordon Roberts Jr. (CRD #1474475) who was formerly registered with Berthel, Fisher & Company Financial Services, Inc. and located in Mt Vernon, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Berthel, Fisher & Company Financial Services, Inc., Gordon Roberts Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gordon Roberts Jr. Customer Complaints Gordon Roberts Jr. has been the subject of 5 customer complaints that we know about to recover investment losses. All 5 customer complaints were settled by the brokerage firms in favor of the investors. Allegations Against Gordon Roberts Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gordon Roberts Jr.  Red Flags & Your Rights As An Investor Of course, Gordon Roberts Jr.  did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Gordon Roberts Jr. at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gordon Roberts Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel, Fisher & Company Financial Services, Inc. Due To Gordon Roberts Jr. If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Gordon Roberts Jr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 21, 2022

Farrukh Shazad Kazmi Berthel, Fisher & Company Financial Services, Inc.

DID FARRUKH KAZMI CAUSE YOU INVESTMENT LOSSES? Farrukh Kazmi Of Berthel, Fisher & Company Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Farrukh Kazmi of Berthel, Fisher & Company Financial Services, Inc.? Farrukh Kazmi (CRD #2855915) who currently registered with Berthel, Fisher & Company Financial Services, Inc. and located in Moorestown, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.   Farrukh Kazmi Customer Complaints Farrukh Kazmi has been the subject of 3 customer complaints that we know about to recover investment losses. All 3of Farrukh Kazmi customer complaints resulted in settlements in favor of investors. Allegations Against Farrukh Kazmi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Farrukh Kazmi Red Flags & Your Rights As An Investor Of course, Farrukh Kazmi did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Farrukh Kazmi at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Farrukh Kazmi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel, Fisher & Company Financial Services, Inc. Due To Farrukh Kazmi If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Farrukh Kazmi and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 28, 2022

Dennis Fearing formerly with Berthel, Fisher & Company Financial Services, Inc.

DID DENNIS MICHAEL FEARING CAUSE YOU INVESTMENT LOSSES? Dennis Fearing Formerly With Berthel, Fisher & Company Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Dennis Fearing formerly with Berthel, Fisher & Company Financial Services, Inc.? Dennis Fearing (CRD #1288339) who was formerly registered with Berthel, Fisher & Company Financial Services, Inc. and located in Coleraine, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Dennis Fearing Customer Complaints Dennis Fearing has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of Dennis Fearing’s 4 customer complaints was settled in favor of investor. One of Dennis Fearing’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently 2 pending customer complaints filed against Dennis Fearing’s former employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by the alleged misconduct. Allegations Against Dennis Fearing A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of fiduciary duty and misrepresentation of the risk of investments and failure to disclose excessive fees related to REITs and business development companies. Misrepresentation of insurance policy at point-of-sale. Overconcentration of investments and privately traded products. Misrepresentations and unsuitable investment recommendations of REITs and business development company investments. Unsuitable investment recommendations of REITs and business development company investments along with failure to conduct adequate due diligence of said investments prior to recommendation. Dennis Fearing Red Flags & Your Rights As An Investor Of course, Dennis Fearing did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dennis Fearing at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Fearing has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel, Fisher & Company Financial Services, Inc. Due To Dennis Fearing If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Dennis Fearing and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jul 8, 2022

Christopher Hasbrouck of Berthel Fisher & Company Financial Services, Inc.

It is very important for all to know as much as possible about the individuals with whom we trust with our finances. There are a variety of resources where you can discover information about background, including, past employment history, regulatory disciplinary proceedings, and customer complaints. This crucial information might lead to concerns about Christopher Hasbrouck and financial losses you incurred. We’ll do our best to respond to any questions you might have. DID CHRISTOPHER LOUIS HASBROUCK CAUSE YOU INVESTMENT LOSSES? Christopher Hasbrouck Of Berthel Fisher & Company Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christopher Hasbrouck of Berthel Fisher & Company Financial Services, Inc.? Christopher Hasbrouck (CRD #4886421) who is currently registered with Berthel Fisher & Company Financial Services, Inc. and located in Maple Grove, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Christopher Hasbrouck Customer Complaints Christopher Hasbrouck has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Christopher Hasbrouck’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Christopher Hasbrouck’s current employer Berthel Fisher & Company Financial Services, Inc. for investment losses caused by the alleged misconduct. Allegations Against Christopher Hasbrouck A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations, misrepresentations, failure to follow customer’s instructions, and violations of securities industry rules and regulations in connection with variable annuity, real estate and other investments. Failure to conduct adequate due diligence in connection with unsuitable, ill liquid, and misrepresented investments. Ill liquid and unsuitable investment recommendations related to real estate securities. Christopher Hasbrouck Red Flags & Your Rights As An Investor Of course, Christopher Hasbrouck did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of  Christopher Hasbrouck at Berthel Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Hasbrouck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher & Company Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel Fisher & Company Financial Services, Inc. Due To Christopher Hasbrouck If you have questions about Berthel Fisher & Company Financial Services, Inc. and/or Christopher Hasbrouck and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Christopher Sweistris of Berthel Fisher & Company Financial Services

DID CHRISTOPHER PAUL SWEISTRIS CAUSE YOU INVESTMENT LOSSES? Christopher Sweistris Of Berthel Fisher & Company Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Sweistris of Berthel Fisher & Company Financial Services? Christopher Sweistris (CRD #4202545) who is currently registered with Berthel Fisher & Company Financial Services and located in Redmond, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Christopher Sweistris Customer Complaint Christopher Sweistris has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that his portfolio was mismanaged and overloaded in Business Development Companies (“BDCs”) purchased by Christopher Sweistris.  He stated that some of his investments were not liquid and had a higher risk than he was comfortable with. Christopher Sweistris’ customer complaint was denied and, to date, the customer has not taken any further action. Christopher Sweistris Red Flags & Your Rights As An Investor Of course, Christopher Sweistris did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Sweistris at Berthel Fisher & Company Financial Services on alert to review carefully the activity and performance of their accounts and question whether Christopher Sweistris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher & Company Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel Fisher & Company Financial Services Due To Christopher Sweistris If you have questions about Berthel Fisher & Company Financial Services and/or Christopher Sweistris and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Jeremy Hay of Berthel Fisher & Company Financial Services

DID JEREMY SHANE HAY CAUSE YOU INVESTMENT LOSSES? Jeremy Hay Of Berthel Fisher & Company Financial Services And BFC Planning Has A Customer Complaint For Alleged Broker Misconduct Who is Jeremy Hay of Berthel Fisher & Company Financial Services? Jeremy Hay (CRD #2697622) who is currently registered with Berthel Fisher & Company Financial Services, BFC Planning and located in Clanton, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Jeremy Hay Customer Complaint Jeremy Hay has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the investments purchased were unsuitable and misrepresented by the representative. The clients also alleged the firm failed to supervise the actions of the representative and failed to perform adequate due diligence. The customer complaint filed against Jeremy Hay’s current employer Berthel Fisher & Company Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Jeremy Hay Red Flags & Your Rights As An Investor Of course, Jeremy Hay did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jeremy Hay at Berthel Fisher & Company Financial Services and BFC Planning on alert to review carefully the activity and performance of their accounts and question whether Jeremy Hay has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher & Company Financial Services and BFC Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel Fisher & Company Financial Services Due To Jeremy Hay If you have questions about Berthel Fisher & Company Financial Services, BFC Planning, and/or Jeremy Hay and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Steve Cummings Formerly With Berthel, Fisher & Company Financial Services

DID STEVE JEFFREY CUMMINGS CAUSE YOU INVESTMENT LOSSES? Steve Cummings Formerly With Berthel, Fisher & Company Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Steve Cummings formerly with Berthel, Fisher & Company Financial Services? Steve Cummings (CRD #2274017) who was formerly registered with Berthel, Fisher & Company Financial Services and located in Fort Deposit, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Steve Cummings was also the subject of an investigation by the State of Alabama Securities Commission for the alleged offer and sale of unregistered securities in that state.  The matter was settled and Steve Cummings paid a fine. Steve Cummings Customer Complaints Steve Cummings has been the subject of 3 customer complaints that we know about. One of Steve Cummings’ 3 customer complaints was settled in favor of investors. One of Steve Cummings’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Berthel, Fisher & Company Financial Services for investment losses caused by Steve Cummings’ alleged misconduct. Allegations Against Steve Cummings A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged the investment he purchased was unsuitable and misrepresented to him by Steve Cummings. The client also alleges the firm failed to supervise the actions of the representative. Another set of clients alleged in a separate proceeding that the investments they purchased were unsuitable and misrepresented by Steve Cummings. They also allege that the firm failed to supervise the actions of the representative. The clients allege the REIT they purchased was misrepresented to them. They allege Steve Cummings guaranteed the safety of their original investment and told them they would never lose the money they invested. Steve Cummings Red Flags & Your Rights As An Investor Of course, Steve Cummings did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steve Cummings at Berthel, Fisher & Company Financial Services on alert to review carefully the activity and performance of their accounts and question whether Steve Cummings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel, Fisher & Company Financial Services Due To Steve Cummings If you have questions about Berthel, Fisher & Company Financial Services and/or Steve Cummings and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Ryan Benning of Berthel Fisher & Company Financial Services

DID RYAN PAUL BENNING CAUSE YOU INVESTMENT LOSSES? Ryan Benning Of Berthel Fisher & Company Financial Service And BFC Planning Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ryan Benning of Berthel Fisher & Company Financial Services? Ryan Benning (CRD #4205469) who is currently registered with Berthel Fisher & Company Financial Services and BFC Planning and located in Hazen, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Ryan Benning Customer Complaints Ryan Benning has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Ryan Benning’s 3 customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Berthel Fisher & Company Financial Services for investment losses caused by Ryan Benning’s alleged misconduct. Allegations Against Ryan Benning A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged the investments he purchased were misrepresented to him allegedly by Ryan Benning. The client alleged Ryan Benning’s investments he purchased were illiquid and not suitable for him. In addition, the client alleged that the product sponsor’s offerings were misrepresented. The client also alleged the firm was negligent and failed to conduct adequate due diligence. The clients alleged Ryan Benning’s investment recommendations were not consistent with their risk tolerance or liquidity needs. Ryan Benning Red Flags & Your Rights As An Investor Of course, Ryan Benning did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ryan Benning at Berthel Fisher Company Financial Services and BFC Planning on alert to review carefully the activity and performance of their accounts and question whether Ryan Benning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher Company Financial Services and BFC Planning also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel Fisher Company Financial Services Planning Due To Ryan Benning If you have questions about Berthel Fisher Company Financial Services, BFC Planning, and/or Ryan Benning and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Ryan Derks of Berthel Fisher & Company Financial Services

DID RYAN ANTHONY DERKS CAUSE YOU INVESTMENT LOSSES? Ryan Derks Of Berthel Fisher & Company Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Ryan Derks of Berthel Fisher & Company Financial Services? Ryan Derks (CRD #5751523) who is currently registered with Berthel Fisher & Company Financial Services and located in Lee’s Summit, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Ryan Derks Customer Complaint Ryan Derks has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged the representative failed to contact him prior to moving a portion of his investments to cash. Ryan Derks’ customer complaint was denied and, to date, the customer has not taken any further action. Ryan Derks Red Flags & Your Rights As An Investor Of course, Ryan Derks did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ryan Derks at Berthel Fisher & Company Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ryan Derks has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher & Company Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel Fisher & Company Financial Services Due To Ryan Derks If you have questions about Berthel Fisher & Company Financial Services and/or Ryan Derks and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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