The Law Firm of Israels & Neuman Investigates Joe Hall Formerly of Berthel Fisher
GLENDALE, CALIFORNIA – Have you lost money with financial advisor Joe Bryan Hall, formerly of Berthel Fisher in Glendale, California? We are looking into allegations made against Joe Hall, who has been the subject of four customer complaints, one of which was filed within the last year. The recent customer alleged that Hall sold unsuitable investments in private placements and limited partnerships. The customer alleges $34,000 in losses from the private placements and limited partnerships.
Joe Bryan Hall was a registered representative of Berthel Fisher from 2006 to April 2021. He has been with Cambridge Investment Research from April 2021 to the present. He worked at branch offices in Glendale, California. Hall was also the subject of a $50,000 tax lien in 2020.
Brokerage firms like Berthel Fisher have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Berthel Fisher.
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