Securities Lawyers Blog
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.