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.