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Gordon Roberts Jr. Formerly With Berthel, Fisher & Company Financial Services, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Gordon Roberts Jr. Formerly With Berthel, Fisher & Company Financial Services, Inc.?

Gordon Roberts Jr. (CRD #1474475) who was formerly registered with Berthel, Fisher & Company Financial Services, Inc. and located in Mt Vernon, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Berthel, Fisher & Company Financial Services, Inc., Gordon Roberts Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Gordon Roberts Jr. Customer Complaints

Gordon Roberts Jr. has been the subject of 5 customer complaints that we know about to recover investment losses. All 5 customer complaints were settled by the brokerage firms in favor of the investors.

Allegations Against Gordon Roberts Jr.

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

  • A series of unsuitable recommendations of illiquid, high-commission investments resulting in a non-suitable overconcentration in these products in their portfolio.
  • Unsuitable and misrepresented investments.
  • Misrepresentation and unsuitable recommendations related to REIT investments.
  • Negligence and breach of fiduciary duty in connection with a variable universal life insurance policy investment.
  • Unsuitable investment recommendation of life insurance policies.

Gordon Roberts Jr.  Red Flags & Your Rights As An Investor

Of course, Gordon Roberts Jr.  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 Gordon Roberts Jr. at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gordon Roberts Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, Inc. also raises questions about the brokerage firm’s 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 Berthel, Fisher & Company Financial Services, Inc. Due To Gordon Roberts Jr.

If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Gordon Roberts Jr. 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 $160 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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