Complaints Database Broker Name
Peter Dorn
Complaints Database Employer
Cape Securities Inc., Berthel Fisher
Complaints Database Allegations
In a Statement of Claim filed with FINRA, a customer has alleged that representative Dorn made fraudulent misrepresentations and omissions in recommending unsuitable securities. The claims are in connection with speculative investments, including an automotive dealership, a viatical life insurance policy and other real estate assets beginning in 2017. The broker has previously been the subject of similar allegations.
Complaints Database Outcome
PENDING/DEIGNED/SETTLED