Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Fredrickson (Fredrickson), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fredrickson 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 $499,999.00 on February 13, 2024.
The claimant alleges the investments he purchased in 2015 were unsuitable and was misrepresented to him. In addition the client alleges that the Firm and registered representative breached their fiduciary duties and that the Firm failed to supervise the representative.