Securities Lawyers Blog
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.