Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Cook (Cook), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cook recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 09, 2023.
The claimant alleged the investments purchased from 2010-2017 were unsuitable and misrepresented to him by the representative. The claimant alleged the firm failed to conduct due diligence on the investments and failed to supervise the representative’s activities.