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Alvery Anthony Bartlett Jr Of Aegis Capital Formerly With Berthel Fisher & Company Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Alvery A. Bartlett Jr with Aegis Capital Corp.?

Alvery Bartlett (CRD #13975) who is currently registered with Aegis Capital Corp. and located in Clayton, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Alvery Bartlett was associated with Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. and 5 investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Berthel Fisher & Company Broker Misconduct

In his career, Alvery Bartlett has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of the customer complaints arose in connection with his employment at Berthel, Fisher and Company, Financial Services, Inc. Three of Alvery Bartlett’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaints filed against Alvery Bartlett’s former employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by his alleged misconduct.

Allegations Against Alvery Bartlett  

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The client alleges the oil and gas, real estate and business development Company investments he purchased were unsuitable and misrepresented by the registered representative.
  • Client alleges unsuitable recommendations in the oil and gas in real estate sector.
  • Client alleges that Tenant in Common (TIC) investments, recommended were unsuitable.
  • Client allege that there is a registered representative made a series of recommendations of illiquid, high commission investments which were unsuitable and resulted in over-concentration of these products in their portfolio.

Alvery Bartlett Red Flags & Your Rights As An Investor

Of course, Alvery Bartlett did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Alvery Bartlett at Aegis Capital Corp., Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alvery Bartlett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Alvery Bartlett at Berthel, Fisher & Company Financial Services, Inc. also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Aegis Capital Corp. And Berthel, Fisher & Co. Financial Services, Inc.

If you have questions about Aegis Capital Corp., Arete Wealth Management, LLC, Berthel, Fisher & Company Financial Services, Inc. and/or Alvery Bartlett and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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