Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that Minnesota-based Berthal Fisher & Company Financial Services broker/adviser Jonathan Pyne has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pyne (CRD# 2580510).
Jonathan Pyne has spent 22 years in the securities industry and has been registered with Berthel Fisher & Company Financial Services in Minneapolis, Minnesota since 2007. Previous registrations include United Planners’ Financial Services of America in Minneapolis, Minnesota (2003-2007); Clearing Services of America in St. Louis, Missouri (1999-2003); 1717 Capital Management Company in Newark, Delaware (1997-1999); and WS Griffith & Company in Hartford, Connecticut (1995-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 20, 1995; Series 7 (General Securities Representative Examination), which he obtained on October 27, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 20, 1995; and Series 24 (General Securities Principal Examination), which he obtained on November 5, 2004. He is a registered broker and investment adviser with 17 US states and territories: Arizona, Arkansas, California, Florida, Hawaii, Illinois, Indiana, Iowa, Minnesota, Nevada, New York, North Carolina, South Dakota, Utah, Virginia, Washington and Wisconsin.
According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.
In July 2017 a customer alleged Jonathan Pyne, while employed at Berthel Fisher & Company Financial Services, misled her into purchasing an illiquid investment. The customer is seeking unspecified damages in the pending complaint.
In 2016 a customer filed a complaint against Jonathan Pyne, while he was employed at Berthel Fisher & Company Financial Services, alleging concerns with the overall account performance. The customer is seeking unspecified damages in the pending complaint.
In 2016 a customer alleged Jonathan Pyne, while employed at Berthel Fisher & Company Financial Services, misrepresented and recommended unsuitable investments. The complaint settled for more than $48,100.
In 2014 a customer alleged he, while employed at Berthel Fisher & Company Financial Services, recommended unsuitable products and made misrepresentations of material facts. The complaint settled for $110,000.
If you or someone you know has lost money investing with Jonathan Pyne, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.