Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that Arizona-based Berthel Fisher & Company Financial Services broker/adviser Dennis Rasmusson has been the subject of several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rasmusson (CRD# 1424334).
Dennis Rasmusson has spent 31 years in the securities industry and has been registered with Berthel Fisher & Company Financial Services in Scottsdale, Arizona since 2014. Previous registrations include VSR Financial Services in Peoria, Arizona; QA3 Financial Group in Omaha, Nebraska; the O.N. Equity Sales Corporation in Blue Ash, Ohio; and New England Securities in New York, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with seven US states and territories: Arizona, Arkansas, California, Kansas, Minnesota, Missouri, and Nebraska.
According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction.
In 2014 a customer alleged Dennis Rasmusson, while employed at VSR Financial Services, executed excessive trades, breached his fiduciary duty, made unsuitable recommendations, acted negligently, breached contract, and misrepresented material facts. The complaint settled for $110,000.
In 2013 a customer alleged Dennis Rasmusson, while employed at VSR Financial Services, mismanaged the portfolio. The complaint settled for $34,000.
In 2011 the Nebraska Department of Banking and Finance sanctioned him following allegations he failed to record and maintain required books and records, failed to maintain the required net capital, and failed to maintain a policies and procedures manual.
If you or someone you know has lost money investing with Dennis Rasmusson, 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.