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Berthel, Fisher & Company Financial Services, Inc. Broker Robyn Simons

Posted on Monday, February 1st, 2021 at 9:01 pm    

Berthel, Fisher & Company Financial Services, Inc.

Were you the victim of Berthel, Fisher & Company Financial Services, Inc. broker Robyn Simons (CRD# 1538638)? Simons was registered with Berthel, Fisher & Company Financial Services, Inc. in Layton, Utah from 2008 to 2017. 

Simons has been the subject of two customer complaints between 2016 and 2019, according to his CRD report:

November 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.” The customer is seeking $200,000 in damages and the case is currently pending. The complaint was regarding real estate securities and business development companies. 

January 2016. “The claimant alleges the investments made in her accounts between 2013 and 2015 were unsuitable and misrepresented to her by the representative.” The case was settled for $21,500. The complaint was regarding equity OTC, common and preferred stocks, real estate securities, unit investment trusts, and business development companies. 

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, Berthel, Fisher & Company Financial Services, Inc. may be liable for investment or other losses suffered by Simons’ customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.