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Category Berthel Fisher & Co.

Former Berthel, Fisher & Co Investment Advisor, Dennis Fearing, Has Three Customer Complaint Disclosures

August 8, 2021

Dennis Fearing (CRD#: 1288339) was previously a dual registered Broker and Investment Advisor at Berthel, Fisher & Company Financial Services, Inc. in Coleraine, MN. He entered the securities industry in 1984 and previously worked for Northland Securities, Inc.; Associated Financial Services, Inc.; Fintegra, LLC; Huntingdon Securities Corporation; American Investment Services, Inc.; Financial Advantage Brokerage Services,…

Former Berthel Fisher Broker, Mason Gann, Suspended By FINRA For Three Months Based On Allegations Of Risky Options Trading In The Account Of A Senior Investor

February 1, 2020

Mason Gann (CRD # 4030936) was a Financial Advisor at Berthel Fisher & Co. in Dallas, Texas.  Mason Gann has been in the securities industry since since 1999 and previously worked at Milkie/Ferguson Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2020, FINRA sanctioned Kevin Meadow Mason…

Berthel Fisher Broker, Genevieve Mar, Has Four Customer Complaints, Including Two Pending Complaints, Alleging The Sale Of Unsuitable Securities

October 27, 2019

Genevieve Mar (CRD # 2744037) is a Financial Advisor at Berthel Fisher & Co. in Northbrook, Illinois.  Genevieve Mar has been in the securities industry since 1996 and previously worked at Brewer Financial Services and Woodbury Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), as of May 2019,…

Berthel Fisher Financial Advisor, Jonathan Pyne, Has Had Six Customer Complaints Since 2011, Including Two Pending Complaints

May 5, 2019

Jonathan Pyne is a Financial Advisor at Berthel Fisher & Co. in Minneapolis, MN.  Jonathan Pyne entered the securities industry in 1995 and previously worked for United Planners Financial Services of America.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2019, a customer filed a complaint against Jonathan…

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