BrokerSearch

BrokerSearch

GREGORY MICHAEL VIECHNICKI

GREGORY MICHAEL VIECHNICKI is currently employed as a Broker and/or Investment Adviser at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located at 9878 N 119th Place, SUITE 100, Scottsdale, AZ, 85259.

GREGORY MICHAEL VIECHNICKI has worked at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. since May 31, 2012

Disclosure History

GREGORY MICHAEL VIECHNICKI has 6 Disclosure Event(s).

Date: June 24, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $26,321.98
Judgment/Lien Type: Tax

Date: July 13, 2012
Category: Regulatory

Date: January 21, 2011
Category: Customer Dispute
Allegations: [CUSTOMER] SUFFERED INVESTMENT LOSSES ARISING FROM UNSUITABLE INVESTMENTS, ACCOUNT CHURNING, BORROWING MONEY FROM THE CLIENT AND APPARENTLY REPAYED THE LOAN.
Damage Amount Requested: $50,000.00
Settlement Amount: $47,500.00

Date: January 01, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: November 22, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $7,568.19
Judgment/Lien Type: Civil

Date: April 07, 2009
Category: Customer Dispute
Allegations: CLIENT ASSERTED A VARIETY OF LEGAL CLAIMS RELATED TO THE SUITABILITY OF THE INVESTMENTS IN HER ACCOUNTS AND AS A RESULT OF LOSSES IN THE ACCOUNTS.  THE CLAIMS INCLUDE CHARGES THAT THE ASSIGNED REPRESENTATIVE CHURNED THE ACCOUNTS AND MADE UNSUITABLE INVESTMENTS.  VARIOUS FEDERAL SECURITIES LAW AND COMMON LAW CLAIMS HAVE BEEN ASSERTED FOR THE TIME PERIOD 2002-2008.ALLEGED DAMAGES UNSPECIFIED
Settlement Amount: $250,000.00 09-01790

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for GREGORY MICHAEL VIECHNICKI, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

How to choose a broker or investment adviser. Learn More