Jerome Alden Poole of Wilmington Delaware a stockbroker formerly registered with Berthel Fisher Company Financial Services Inc. has been discharged on June 12, 2018 supported by accusations that Poole neglected to timely submit customer account documentation to the firm’s compliance division.
FINRA Public Disclosure additionally reveals that on June 4, 2013, a customer initiated investment related complaint involving Poole’s activities was settled for $47,000.00 in damages based upon allegations that while Poole was associated with Kovack Securities, Inc., the customer was placed in fixed annuities that were not suitable for the customer.
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Guiliano Law Group
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