Erez Law is currently investigating Derks Financial, LLC broker Ryan Derks (CRD# 5751523) regarding unauthorized trades. He has been listed as an investment adviser representative with Derks Financial, LLC in Lees Summit, Missouri, since 2021. He was registered with Berthel, Fisher & Company Financial Services, Inc. in Lee’s Summit, Missouri, from 2019 to 2021, and Berthel, Fisher & Company Financial Services, Inc. in Lee’s Summit, Missouri, from 2010 to 2017.
Ryan Derks Customer Complaints
He has been the subject of two customer complaints between 2020 and 2023, one of which was closed without action, according to his CRD report:
July 2023. “Unauthorized sale of stock.” The customer sought $600,000 in damages, and the case was settled for $218,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Derks Financial, LLC may be liable for investment or other losses suffered by Ryan Derks’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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