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INVESTOR ALERT: Mason Gann/Berthel Fisher SUSPENDED – Dallas, TX

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28
Jan

INVESTOR ALERT: Mason Gann/Berthel Fisher SUSPENDED – Dallas, TX

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INVESTOR ALERT:  Mason Gann/Berthel Fisher SUSPENDED – Dallas, TX

Mason Gann, formerly with Berthel Fisher, Suspended from Securities Industry

Have you lost money with financial advisor Mason Gann from Dallas, Texas?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mason Wayne Gann. FINRA suspended him from the securities industry for three months, regarding allegations that he engaged in a risky, unsuitable options trading strategy in an elderly customer’s account. 

Mason Gann was a registered representative and financial advisor with Berthel Fisher from June 2012 to February 2018.  He worked out of a branch office in Dallas, Texas.  Gann has also been the subject of three customer complaints, and he was also the subject of another FINRA investigation in April 2018.

Broker-dealers like Berthel Fisher have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers. 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas and in the Dallas area.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Berthel Fisher.

If you have lost money with Mason Gann and Berthel Fisher, and want to hear about ALL legal options, please CONTACT US at 720-599-3505.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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