Craig Fredrickson, a broker and investment advisor with Berthel, Fisher & Company Financial Services, Inc., is currently facing allegations of unsuitable investments and misrepresentation. The claimant, who purchased investments in 2015, alleges that Fredrickson and the firm breached their fiduciary duties and that the firm failed to supervise the representative adequately. The Allegations Against Craig […]

In a recent development, Austin Dutton, a former broker and investment advisor at American Trust Investment Services, Inc. (CRD 3001) in Pennsylvania, is facing allegations of breach of contract, breach of fiduciary duty, negligent supervision, and violation of the best interest obligations (Reg BI). The customer dispute, filed on February 13, 2024, is currently pending

Marc Meran, a broker and investment advisor currently employed by Morgan Stanley (CRD 149777) in Florida, is facing allegations of unsuitable investment recommendations related to municipal bonds. The customer dispute, filed on February 13, 2024, and currently pending resolution, has prompted an investigation by the national investment fraud law firm, Haselkorn & Thibaut. According to

Sanctuary Securities, Inc. and broker Chad Keller are currently under investigation by the investment fraud law firm Haselkorn & Thibaut following allegations of misconduct. The customer dispute, filed on February 13, 2024, claims that Keller disregarded the customer’s instructions not to sell their 75 shares of Eli Lilly stock, with 50 shares sold in 2016