Articles Tagged with Steve Cummings

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steve Cummings (Cummings), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cummings recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $594,746.00 on August 09, 2025.

The client initially requested an accounting of a decline in account balance over ten years. Two days later the client wrote again stating he suspected either wrong doing, inept or illegal handling of the account.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steve Cummings (Cummings), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cummings recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 08, 2022.

The client, through his counsel contacted the Firm’s counsel regarding potential claims relating to suitability of the alternative investments purchased by the client from 2011 through 2016.