Public records published by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that New York-based Dawson James Financial broker James Bernthal has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bernthal (CRD# 4871243).
James Bernthal has spent twelve years in the securities industry and has been registered with Dawson James Financial in New York, New York since 2016. Previous registrations include Network 1 Financial Securities in Lynbrook, New York; Obsidian Financial Group in Freeport, New York; QA3 Financial in Farmingdale, New York; A&F Financial Securities in Farmingdale, New York; First Midwest Securities in Westbury, New York; and Gunnallen Financial Group in Tampa, Florida. He is a registered broker with fifteen US states and territories.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In January 2017 a customer alleged James Bernthal, while employed at Obsidian Financial Group, made excessive trades and recommended unsuitable investments. The customer is seeking $50,000 in damages in the pending complaint.
In 2015 a customer alleged James Bernthal, while employed at Obsidian Financial Group, breached contract, made unsuitable recommendations, churned the account, and participated in fraud. The complaint settled for $30,000.
In 2013 a customer alleged James Bernthal, while employed at Obsidian Financial Group, misrepresented material facts, omitted material facts, made unsuitable investment recommendations, made excessive trades, and failed to supervise. The complaint settled for $50,000
If you or someone you know has lost money investing with James Bernthal, 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.