Erez Law is currently investigating former Berthel, Fisher & Company Financial Services, Inc. broker Andrew Perri (CRD# 2801727) regarding unsuitable investment recommendations. Perri was registered with Berthel, Fisher & Company Financial Services, Inc. in Brighton, Michigan from 2007 to 2016. Previously, Perri was registered with Sigma Financial Corporation in Brighton, Michigan from 2003 to 2007 when he was terminated regarding, “failure to comply with firm sales submission procedures.”
Perri has been the subject of one customer complaint, according to his CRD report:
June 2020. “The client alleges the investments he purchased in 2015 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence..” The case is currently pending. The complaint was regarding oil and gas investments, real estate securities, and annuities. The complaint took place while Perri was registered with Berthel, Fisher & Company Financial Services, Inc. and the client alleges the damages are between $250,000 and $500,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Berthel, Fisher & Company Financial Services, Inc. may be liable for investment or other losses suffered by Perri’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.