Ricky Steven Geislinger of Watkins Minnesota a stockbroker formerly employed by Berthel Fisher Company Financial Services Inc. is referenced in a customer initiated investment related arbitration claim which settled for $75,000.00 in damages supported by allegations that (1) Geislinger made misrepresentations to the customer concerning the terms and conditions of the investments selected for the customer’s account and (2) Geislinger placed the customer in unsuitable investments including a private placement and real estate security. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-00977 (Mar. 12, 2018).
FINRA Public Disclosure additionally confirms that on October 10, 2000, a customer filed an investment related complaint regarding Geislinger’s activities where the customer requested $13,826.00 in damages founded on accusations that while Geislinger was associated with Josephthal & Co., Inc., customers were not paid out on Eagle International Incorporated warrants, and those Eagle warrants had been purchased for the customers’ accounts without the customers ever having provided permission.
Geislinger’s registration with Berthel Fisher Company Financial Services Inc. has been terminated as of July 6, 2016. Between July 13, 2016 and January 30, 2017, Geislinger was associated with Harbor Financial Services, LLC.
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