Albert Bergmann Subject of Investor Dispute

Albert Bergmann (CRD #: 2800662), a broker registered with Infinex Investments, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on April 25, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On March 5, 2023, an investor filed a dispute naming Albert Bergmann in allegations related to an investment’s liquidity event. They sought $95,000 in damages but the dispute was denied by the firm.

However, investors should know that firms can deny disputes without allowing an outside review. Investors may still be able to recover their funds by pursuing FINRA arbitration after a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Albert Bergmann has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 24 – General Securities Principal Examination

Albert Bergmann is a registered broker in eight states and a registered investment adviser in New Jersey and New York.

He has also worked for the following firms:

• M&T Securities (CRD#:17358)
• Essex National Securities (CRD#:25454)
• Investors Capital Advisory (CRD#:30613)
• Investors Capital Corporation (CRD#:30613)
• Chase Investment Services (CRD#:25574)
• HSBC Securities (USA) (CRD#:19585)
• HSBC Brokerage (USA) (CRD#:6956)
• Citicorp Investment Services (CRD#:23988)
• D. H. Blair & Company (CRD#:6833)

Kurta Law Can Help

If you worked with Albert Bergmann and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.