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John Carroll Formerly with Berthel Fisher & Company Financial Services Has 4 Customer Complaints for Alleged Broker Misconduct

Who is John Carroll formerly with Berthel Fisher & Company Financial Services?

John Carroll (CRD #41769) who was formerly registered with Berthel Fisher & Company Financial Services and located in Maumee, Ohio is a subject of one of our many securities industry sales practice abuse investigations. He was discharged a two broker-dealers.

John Carroll Customer Complaints

John Carroll has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of John Carroll’s 4 customer complaints was settled in favor of investors.

There are currently three pending customer complaints filed against Berthel Fisher & Company Financial Services for investment losses caused by John Carroll’s alleged misconduct.

Allegations Against John Carroll

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

  • The client alleged the investments she purchased were unsuitable and misrepresented to her by John Carroll. The client also alleges the firm failed to supervise the actions of the representative.
  • The client is alleged that John Carroll’s advice and investment decisions have caused him financial distress. He is upset that the representative allocated 90% of his portfolio into one security.
  • The power of attorney on behalf of the client alleges the investments made by John Carroll are unsuitable and is upset that they are illiquid.

John Carroll Red Flags & Your Rights as An Investor

Of course, John Carroll 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 that should put all current and former customers of John Carroll at Berthel Fisher & Company Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Carroll has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Berthel Fisher & Company Financial Services also raises questions about the brokerage firms’ 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 Due to John Carroll

If you have questions about Berthel Fisher & Company Financial Services, and/or John Carroll 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.

Author Photo

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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