Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that Illinois-based Berthel Fisher & Company Financial Services broker/adviser Gordon Roberts has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roberts (CRD# 1474475).
Gordon Roberts has spent 33 years in the securities industry and has been registered with Berthel Fisher & Company Financial Services in Mt. Vernon, Illinois since 2008. Previous registrations include Investment Planners in Mt. Vernon, Illinois (1999-2008); NationsBanc Investments in Boston, Massachusetts (1998); NationsSecurities (1997-1998); Boatmen’s Investment Services in St. Louis, Missouri (1991-1997); LFG Investments in St. Louis, Missouri (1989-1991); Alison Baer Securities (1989); Allied Capital Group (1988-1989); Graystone Nash (1988); JW Gant & Associates (1987-1988); and Michelin & Company (1986-1987). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 27, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 28, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1986. He is a registered broker and investment adviser with seven US states: Florida, Illinois, Indiana, Louisiana, Missouri, Oregon, and Texas.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In March 2019 a customer alleged Gordon Roberts, while employed at Berthel Fisher & Company Financial Services, misled him into believing certain investments were balanced to protect against substantial losses, and did not keep him informed of certain losses in the accounts. The customer is seeking unspecified damages in the pending complaint.
In 2014 a customer alleged Gordon Roberts, while employed at Investment Planners, misrepresented material facts, recommended unsuitable investments, and failed in his supervisory duties in connection with investments in real estate investment trusts. The complaint settled for $45,000.
In 2010 a customer alleged Gordon Roberts, while employed at Investment Planners, acted negligently, breached his fiduciary duties, and recommended unsuitable investments. The complaint settled for $52,500.
In 2002 a customer alleged he, while employed at Investment Planners, recommended insurance from which the customer later wanted their money back. The complaint settled for $30,000.
If you or someone you know has lost money investing with Gordon Roberts, 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.