Published on:

Debra Bertrand Has Regulatory Sanction

Debra BertrandPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Raymond James broker/adviser Debra Bertrand is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ms. Bertrand (CRD# 1187249).

Debra Bertrand has spent 27 years in the securities industry and has been registered with Raymond James Financial Services in Elvira, New York since 2013. She was previously registered with Wells Fargo Advisors in Elmira, New York (2000-2012) and First Albany Corporation in New York, New York (1988-2000). She is a registered broker and investment adviser with 27 US states and territories.

According to her BrokerCheck report, Debra Bertrand has received one pending customer complaint and one regulatory sanction.

In October 2015, a customer alleged Debra Bertrand, while employed at Wells Fargo Advisors, notarized a customer’s signature on documents without the customer’s presence, “which helped perpetuate fraud.” The customer is seeking unspecified damages in the pending complaint.

In 2012, Debra Bertrand was discharged from her position at Wells Fargo Advisors following allegations she notarized a customer’s signature on an affidavit when the customer was not present.

In 2012, FINRA sanctioned Debra Bertrand following allegations she notarized a customer’s signature on an affidavit when the customer was not present. She was issued a one-month suspension and a fine of $5,000.

If you have complaints regarding Debra Bertrand, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.