Dorris Jones: Berthel Fisher Advisor Receives $500K Complaint

Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Berthel Fisher & Company Financial Services and an investment advisor with BFC Planning.

Ms. Jones’s BrokerCheck report discloses two investor complaints. The most recent, filed in August 2026, alleges that as a representative of Moloney Securities, she recommended GWG investments above the customer’s risk tolerance that the customer “should not have been invested in.” The pending complaint alleges damages of $500,000. In a statement included with the disclosure, she denied the allegations.

FINRA rules stipulate that brokers like Ms. Jones can only recommend investments and strategies that are suitable for a given customer. Under FINRA Rule 2111, a broker must “have a reasonable basis to believe that a recommended transaction or investment strategy” is appropriate for the customer’s objectives, a basis reached through reasonable diligence into the customer’s investment profile. FINRA Rule 2010 requires representatives to “observe high standards of commercial honor and just and equitable principles of trade.” Brokers who recommend unsuitable investments may be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Dorris Jones holds 45 years of securities industry experience. Based in Nashville, Tennessee, she has been registered as a broker with Berthel Fisher & Company Financial Services and an investment advisor with BFC Planning since 2025. Her past registrations include Moloney Securities Asset Management, Moloney Securities, OneAmerica Securities, The Advisors Group, Hornor Townsend & Kent, FSC Securities, Jacques-Miller Investment Company, and Equity Services. Her credentials include the passage of nine securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the NFA Branch Manager Examination, or Series 30; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the National Commodity Futures Examination, or Series 3; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. She holds 6 state licenses. (Information current as of November 1, 2026.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.