Search for: "Berthel Fisher "
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18 Jan 2018, 4:26 am
Alvery Bartlett investigation into oil and gas private placements The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Alvery Bartlett a registered representative formerly with Berthel Fisher and Company, now with Arête Wealth Management. [read post]
8 Jan 2018, 8:13 am
Current Berthel, Fisher & Company Financial Services, Inc. [read post]
25 May 2017, 5:04 am
From November 2002 until March 2014, Eng was associated with Berthel, Fisher & Company Financial Services, Inc. [read post]
21 Apr 2017, 1:01 pm
FINRA Sues Berthel Fisher and Jeffrey Dragon, former advisor According to reports, FINRA is charging Berthel Fisher with failure to supervise sales of unit investment trusts. [read post]
5 Oct 2015, 6:54 am
Thereafter, from June 2012, until September 2012, Levin was associated with Berthel, Fisher & Company Financial Services, Inc. [read post]
1 Oct 2015, 6:21 am
(Berthel Fisher). [read post]
27 Aug 2015, 6:27 am
From March 2003, until September 2012, Notman was registered with Berthel, Fisher & Company Financial Services, Inc (Berthel Fisher). [read post]
13 Aug 2015, 6:27 am
(Berthel Fisher). [read post]
10 Aug 2015, 7:03 am
Broker Thomas Sharp Sanctioned by FINRA Over Misleading Statements Concerning Non-Traded REITs Pennsylvania Regulator Investigates Securities America and Landenburg Thalmann Non-Traded REIT Sales National Planning Corporation Broker Matthew Westfall Sanctioned Over Outside Business Activities and Non-Traded REIT Sales Hantz Financial Services Sanctioned Over Non-Traded REIT Due Diligence Failures Former LPL Financial Broker Brian Brunhaver Accused of Fraud in the Sale of Non-Traded REITs FINRA Bars… [read post]
13 May 2015, 7:08 am
According to the report, some of the largest firms in the United States are falsely advertise in this fashion including Merrill Lynch, Wells Fargo, Morgan Stanley, UBS, Fidelity, Ameriprise, Allstate Financial, Berthel Fisher, and Charles Schwab. [read post]
15 Apr 2015, 12:50 pm
Moreover, all of the largest firms (known as “wirehouses”) are named in the indictment – Merrill Lynch, Wells Fargo, Morgan Stanley and UBS – as well as a host of major brokerage firms – Fidelity Investments, Ameriprise, Allstate Financial, Berthel Fisher and Charles Schwab. [read post]
16 Jan 2015, 12:01 pm
No.9: Berthel Fisher & Co. [read post]
17 Dec 2014, 8:10 am
Below is a list of brokerage firms that have sold Atlas Energy private placements: Alliance Affiliated Equities Corporation AXA Advisors, LLC Benjamin & Jerold Brokerage I, LLC Berthel, Fisher & Company Financial Services, Inc. [read post]
5 Dec 2014, 6:19 am
(Berthel Fisher). [read post]
4 Dec 2014, 10:18 am
According to his FINRA Broker Check Report, Charbonneau was registered with Feltl & Company from March 2005 through October 2010 and Berthel Fisher from November 2010 through December 2013. [read post]
1 Oct 2014, 6:26 am
., Berthel, Fisher & Company Financial Services, Inc., VSR Financial Services, Inc., among others. [read post]
8 Aug 2014, 3:08 pm
According to FINRA BrokerCheck, Tuttle worked in Florida with Berthel, Fisher & Company from 11/2005 to 08/2006, Gunnallen Financial from 09/2006 to 09/2007, and Merrimac Corporate Securities from 09/2007 to 07/2011. [read post]
11 Apr 2014, 3:11 pm
For instance, we recently commented regarding FINRA's announcement on February 24, 2014 of a $775,000 fine for Berthel Fisher & Company Financial Services, Inc. and its subsidiary for failure to supervise brokers on recommendations and sales of alternative investments such as non-traded real estate investment trusts (REITs) and leveraged and inverse exchange-traded funds (ETFs). [read post]
9 Apr 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) fined broker-dealer, Berthel Fisher & Co. [read post]
8 Apr 2014, 3:45 pm
According to InvestmentNews, broker-dealer Berthel Fisher & Co. [read post]
