Berthel, Fisher & Company Financial Services, Inc. Broker Scott Barcomb Recovery Loss Options
Posted on Tuesday, September 22nd, 2020 at 7:27 pm
Did you lose money investing with Berthel, Fisher & Company Financial Services, Inc. broker Scott Barcomb (CRD# 1369573)? Barcomb has been registered with Berthel, Fisher & Company Financial Services, Inc. in Sarasota, Florida since 2003.
Barcomb has been the subject of five customer complaints between 2006 and 2020, according to his CRD report. The most recent complaint is regarding:
July 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.” The case is currently pending. The complaint was regarding real estate securities.
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 Barcomb’s 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.