FINRA Rule 5320: Prohibition Against Trading Ahead of Customer Orders
A Summary of FINRA’s Discovery Guide
FINRA Rule 2010: Standards of Commercial Honor and Principles of Trade
FINRA Rule 2150: Improper Use of Customers’ Securities or Funds & Prohibition Against Guarantees and Sharing in Accounts
FINRA Rule 5240: Anti-Intimidation / Coordination
FINRA Rule 5280: Trading Ahead of Research Reports
Genevieve Mar has been the subject of four customer disputes throughout her career, two of which are still pending.
The Sonn Law Group is investigating allegations that Genevieve Mar made unsuitable recommendations. Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct or negligence and investors may be able to their investment through FINRA arbitration. Contact Sonn Law Group today or call us at 866–827–3202 for a free consultation.
Genevieve Mar (CRD#: 2744037) has been a registered representative for Berthel, Fisher & Co since 2010. During that time, she has been named in four customer disputes.
- May 2019 — “The claimants allege that the investments they purchased between 2010–2015 were unsuitable and misrepresented to them by the representative. The Claimants also allege that the firm failed to supervise the actions of the representative.” The claimant is seeking $1.5 million in damages. The matter is still pending.
- July 2018 — “The clients allege that the investments purchased between 2014–2016 were unsuitable, are not performing as expected, and that the high-risk level associated with the investments was not explained to them at the time of purchase. They also allege the firm failed to supervise the actions of the representative.” The claimant is seeking $250,000. The matter is still pending.
- September 2013 — “The client alleges the 2007 and 2008 TIC purchased were unsuitable and misrepresented by the representative. The client also alleges the firm failed to conduct adequate due diligence.” The matter was settled for $222,000.
- June 2011 — “Clients allege misrepresentations and omissions, negligence, and fraud by the representative.” The customer was awarded $125,000.
Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional committed acts in violation of FINRA Rules, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.
