Berthel

There are Recent Customer Complaints with Broker Scott Barcomb in Firm Berthel, Fisher & Company Financial Services, INC.

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Barcomb (Barcomb), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barcomb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

The client alleges the investments she purchased in 2014-2015 were high risk and not consistent with her risk tolerance. The client also alleges the firm failed to supervise the activity of the representative and failed to conduct adequate due diligence.

Broker Mason Gann in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mason Gann (Gann), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $53,000.00 on March 17, 2020.

The client alleges the representative over concentrated their assets in two stocks which were unsuitable did not preform as expected. The client also alleges the firm failed to supervise the actions of the representative.

Broker Ryan Benning in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Benning (Benning), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Benning recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

The client alleges the investments he purchased between 2014-2016 were illiquid and not suitable for him. In addition, the client alleges that the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Farrukh Kazmi in Firm Berthel, Fisher & Company Financial Services, INC.

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Farrukh Kazmi (Kazmi), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kazmi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on July 24, 2020.

The clients allege the investments they purchased between 2013-2014 were unsuitable and misrepresented to them by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Dorris Jones in Firm Berthel, Fisher & Company Financial Services, INC.

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dorris Jones (Jones), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $280,000.00 on May 08, 2026.

Suitability. Client alleges they wanted low risk and should not have been invested in these securities. From 2016 to present.

There are Recent Customer Complaints with Broker Shane Desherlia in Firm Berthel, Fisher & Company Financial Services, INC.

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Desherlia (Desherlia), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Desherlia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on April 13, 2026.

Suitability/negligence. 2020-2021

Broker Gordon Roberts in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gordon Roberts (Roberts), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roberts recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

The client alleges the representative made a series of recommendations of illiquid, high-commission investments from 2009-2013 which were unsuitable and resulted in over-concentration in these products in their portfolio. In addition the client alleges the firm failed to conduct adequate due diligence relating to United Development Funding and was negligent.

There are Recent Customer Complaints with Broker Mark Wojno in Firm Berthel, Fisher & Company Financial Services, INC.

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Wojno (Wojno), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wojno recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 22, 2020.

The client alleges the investments he purchased in 2015 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Andrew Perri in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Perri (Perri), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Perri recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 22, 2020.

The client alleges the investments he purchased in 2015 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Scott Barcomb in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Barcomb (Barcomb), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barcomb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

The client alleges the investments she purchased in 2014-2015 were high risk and not consistent with her risk tolerance. The client also alleges the firm failed to supervise the activity of the representative and failed to conduct adequate due diligence.