Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Minnesota-based Berthal Fisher & Company Financial Services broker/adviser Jonathan Pyne has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pyne (CRD# 2580510).
Jonathan Pyne has spent 23 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 is a registered broker and investment adviser with 18 US states and territories.
According to his BrokerCheck report, Mr. Pyne has received two customer complaints and two pending customer complaints.
In January 2019 a customer alleged Jonathan Pyne, while employed at Berthel Fisher & Company Financial Services, misrepresented and recommended unsuitable investments that performed poorly. The customer is seeking $150,000 in damages in the pending complaint.
In 2017 a customer alleged Jonathan Pyne, while employed at Berthel Fisher & Company Financial Services, breached his fiduciary duty by mismanaging her account and failing to inform her that it was losing money, and surrendered her annuity without authorization. The customer is seeking $19,250 in damages in the pending complaint.
In 2017 a customer alleged Jonathan Pyne, while employed at Berthel Fisher & Company Financial Services, provided misleading information regarding an investment in an illiquid product. The customer sought unspecified damages in the complaint, which was closed with no action taken.
In 2016 a customer alleged he, while employed at Berthel Fisher & Company Financial Services, made misrepresentations of material facts and unsuitable investment recommendations. The complaint settled for more than $48,100.
In 2014 a customer alleged he, while employed at Berthel Fisher & Company Financial Services, misrepresented and recommended unsuitable securities. The complaint settled for $110,000.
If you or someone you know has a complaint regarding Jonathan Pyne, 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.