Berthel

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

April 28, 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 one disclosable event. These events include one customer complaint, 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.

April 26, 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 2 disclosable events. These events include 2 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 Eric Duncan in Firm Berthel, Fisher & Company Financial Services, INC.

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Duncan (Duncan), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 $201,000.00 on January 10, 2026.

Suitability/negligence. 2020

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

March 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 29, 2020.

In October 2020 through a series of emails the client made a complaint and alleged that she was not informed about the costs of her investments she made from 2000-2020 in mutual funds, annuities, and CDs. She allege she was misled about the returns she received after the fees she incurred. In addition, the client questioned whether she incurred more in taxes as a result of the investment she selected. In January 2022, the client filed an arbitration which alleged an unsuitable investment strategy, misrepresentation of the investments, forgery of the client's signature on some of the paperwork, and that the firm failed to adequately supervise the representative.

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

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robyn Simons (Simons), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Simons 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 $200,000.00 on November 10, 2020.

The client alleges the investments she purchased between 2014-2016 were unsuitable and misrepresented to her by the representative. The client also alleges the firm failed to supervise the actions of the representative.

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

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Genevieve Mar (Mar), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mar 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 $500,000.00 on December 23, 2025.

The claimants allege the investments they purchased from 2011-2016 were not suitable and were misrepresented to them.

Broker Christopher Hasbrouck in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 19, 2021.

The clients allege the investments they purchased from 2013-2015 were unsuitable, illiquid, and misrepresented to them by the representative. Additionally, the clients allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Jonathan Pyne in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Pyne (Pyne), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pyne 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 $116,000.00 on April 22, 2021.

The client alleges the investments he purchased in 2014 were unsuitable and misrepresented by the representative. The client also alleges the firm failed to adequately supervise the representative.

Broker Jenna Biancavilla in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenna Biancavilla (Biancavilla), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Biancavilla 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 $20,000.00 on April 23, 2021.

The client alleges the investment she purchased in 2015 was unsuitable and misrepresented to her by the representative. The client also alleges Berthel, Fisher & Company Financial Services, Inc. failed to supervise the representative and failed to conduct adequate due diligence.

Broker Randall Duggan in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Duggan (Duggan), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duggan 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 $101,000.00 on December 11, 2025.

Suitability/negligence 2020