Pending complaints against UBS Financial Services broker and investment advisor Jose Cornide (CRD# 2785918) allege the Coral Gables, Florida-based representative...Read More
Genevieve Mar: Complaints Against Northbrook Financial Advisor
Settled and pending complaints against Northbrook, Illinois broker and investment advisor Genevieve Mar (CRD#: 2744037) allege conduct including suitability violations, misrepresentations, fraud, and more. Mar is a representative of Berthel Fisher & Company Financial Services, according to information drawn from Financial Industry Regulatory Authority records.
A pending May 2019 complaint alleges that as a representative of Berthel Fisher & Company Financial Services and Brewer Financial Services, Genevieve Mar misrepresented and recommended unsuitable investments. The complaint alleges damages of $1,500,000.
A pending 2018 complaint alleges that as a representative of Berthel Fisher & Company Financial Services, Genevieve Mar recommended unsuitable investments whose risks she did not fully disclose. The complaint alleges damages of $250,000.
A 2013 complaint alleged that as a representative of Woodbury Financial Services, she recommended unsuitable tenant-in-common investments whose risks she did not fully disclose. The complaint reached a settlement of $208,500.
A 2011 complaint alleged that as a representative of Brewer Financial Services, she breached her fiduciary duty, misrepresented material facts, engaged in manipulation, acted negligently, and committed a fraud connection to the sale of promissory notes “from an issuer whose assets were later frozen” by the SEC and who the claimants alleged were unregistered securities. The complaint resulted in an award to the customer of $125,000.
Genevieve Mar is currently registered with Berthel Fisher & Company Financial Services in Northbrook, Illinois, where she has been registered since 2010. Her employment history includes Brewer Financial Services in Northbrook, Illinois; Woodbury Financial Services in Northbrook, Illinois; and PFS Investments in Duluth, Georgia. She currently holds 12 state licenses and has passed five securities industry qualification examinations.