Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Barcomb (Barcomb), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barcomb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.
The client alleges the investments she purchased in 2014-2015 were high risk and not consistent with her risk tolerance. The client also alleges the firm failed to supervise the activity of the representative and failed to conduct adequate due diligence.