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Nicole Bertsch Formerly With American Independent Securities Group, LLC and Capital Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Nicole Bertsch formerly with American Independent Securities Group, LLC?

Nicole Bertsch

Nicole Bertsch (CRD #5204006) who was formerly registered as a broker with American Independent Securities Group, LLC and located in Minot, North Dakota, is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Independent Securities Group, LLC, Nicole Bertsch was associated with Capital Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Nicole Bertsch Customer Complaints

Nicole Bertsch has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer disputes were settled by Capital Financial Services in favor of the investors.

Allegations Against Nicole Bertsch

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

  • Breach of fiduciary duty, and violations of federal and state securities laws.
  • At breach of fiduciary duty, misrepresentation, violation of Indiana State securities laws.

Nicole Bertsch Red Flags & Your Rights As An Investor

Of course, Nicole Bertsch 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 Nicole Bertsch at American Independent Securities Group, LLC and Capital Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nicole Bertsch has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Independent Securities Group, LLC and Capital Financial Services, Inc. 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At American Independent Securities Group, LLC Due To Nicole Bertsch

If you have questions about American Independent Securities Group, LLC, Capital Financial Services, Inc. and/or Nicole Bertsch 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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