Former Berthel Fisher & Company broker Mason Wayne Gann was recently
suspended by FINRA for exercising discretion in six customer brokerage
accounts without written authorization to do so. According to FINRA, Gann
made approximately 500 trades in the affected customers' accounts.
Gann was terminated from his brokerage firm, Berthel Fisher & Company,
in February 2018.
Gann has also been the subject of two customer complaints during the time
in which he was a Berthel Fisher registered representative. The complaints
allege that Gann churned a customer account and that Gann sold unsuitable
investments and made unauthorized trades. One of those complaints is currently pending.
Did You Suffer Financial Losses While Working with Mason Gann?
When brokers like Mason Gann make unauthorized trades and recommend unsuitable
investments in customer accounts, they put the financial security of their
clients at risk. Meyer Wilson helps investors nationwide recover financial
losses that result from broker misconduct.
Give our office a call at (888) 390-6491 for a case evaluation.
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Investment Misconduct Blog
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