Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former South Dakota-based Farmers Financial Services broker Kirk Bertsch has been named in an investigation by the South Dakota Division of Insurance and was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bertsch (CRD# 4132889).
Kirk Bertsch has spent 18 years in the securities industry and was most recently registered with Farmers Financial Solutions in Spearfish, South Dakota (2000-2018). He was previously registered with Investors Brokerage Services in Elgin, Illinois (2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 2000, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 6, 2000. He is currently not registered with any state or firm.
According to his BrokerCheck report, Kirk Bertsch was discharged from his former employer in connection to alleged rule violations and has been named in an investigation by the South Dakota Division of Insurance.
In August 2018 he was terminated from his position at Farmers Financial Solutions in connection to allegations he failed to disclose or obtain approval to engage in private securities transactions “involving unregistered promissory notes”; that he participated in outside business activities without receiving prior written approval from his firm; and that he failed to report that he had been contacted by a regulatory authority “for securities matters.”
In August 2018 he was named in an investigation by the South Dakota Division of Insurance in connection to his “involvement with the purchase and sale of unregistered promissory notes.” The investigation remains pending.
If you or someone you know has a complaint regarding Kirk Bertsch, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect 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.