Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Bertsch (Bertsch), previously associated with American Independent Securities Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bertsch 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 $6,666.67 on March 05, 2020.
Clients alleged breach of fiduciary duty, misrepresentation, violation of Indiana State Securities Laws