Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 20, 2018 indicate that former Texas-based Berthel Fisher & Company broker/adviser Mason Gann, who has received a pending customer dispute, was discharged from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gann (CRD# 4030936).
Mason Gann has spent 18 years in the securities industry and was most recently registered with Berthel Fisher & Company in Dallas, Texas (2012-2018). Previous registrations include Milkie/Ferguson Investments in Dallas, Texas (2004-2012) and Wachovia Securities in St. Louis, Missouri (1999-2004). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 3, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 22, 1999; and Series 7 (General Securities Representative Examination), which he obtained on October 8, 1999. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint and one unsatisfied tax lien, and he was discharged from his former employer in connection to alleged rule violations.
In February 2018 he was terminated from his position at Berthel Fisher & Company Financial Services in connection to possible violations of his heightened supervision terms.
In January 2018 a customer alleged Mason Gann, while employed at Berthel Fisher & Company, recommended unsuitable investments, failed to properly supervise the account to prevent losses, and made unauthorized trades in connection to investments in common and preferred stock, options, unit investment trusts, and exchange-traded funds. The customer is seeking $200,000 in damages in the pending complaint.
In 2017 the Internal Revenue Service filed a tax lien totaling $54,156.65 against him. The lien remains outstanding.
If you or someone you know has lost money investing with Mason Gann, 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.