Investors potentially incurred losses because of securities broker Ryan Anthony Derks [CRD: 5751523, Lee's Summit, Missouri], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Derks worked for Berthel Fisher Company Financial Services Inc. from August 22, 2019, to September 30, 2021. See the following information to discover more about disclosures involving Ryan Derks.
Derks Disclosed Sales Practice Violation Allegations By Derks Financial LLC Client
Specifically, a client of Derks Financial LLC contested Ryan Derks’s sales practices by filing Civil Action No. 2316-CV20020. Allegedly, Derks engaged in unauthorized trading in stocks. It appears that Derks allegedly caused the client to sustain damages. As a result, Derks Financial LLC agreed to settle the matter on February 8, 2024, by compensating the client in the amount of $218,000.
Ryan Derks Disclosed Unauthorized Trading Allegations By Berthel Fisher And Company Financial Services Inc. Client
Additionally, a client of Berthel Fisher Company Financial Services Inc. contested Ryan Derks’s sales practices, according to a complaint dated June 7, 2020. Allegedly, Derks moved a portion of the client’s investments to cash without first contacting the client. It appears that Derks allegedly caused the client to sustain damages linked to money market funds and stocks. Consequently, the client sought compensation from Berthel Fisher Company Financial Services Inc. or Derks in this matter. However, this complaint was closed without a resolution.
Were You Impacted By Securities Broker / Financial Advisor Derks?
Do you need guidance on any investment losses relating to Ryan Derks? You can contact Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers work on a contingency fee basis and advance all costs. Derks and brokerage firms Derks worked for deny accusations of sales practice violations.
