Search for: "Berthel Fisher "
Results 61 - 80
of 82
Sort by Relevance
|
Sort by Date
18 Mar 2014, 11:21 am
Included in FINRA findings is Berthel Fisher affiliate, Securities Management & Research, also an Iowa-based company. [read post]
25 Feb 2014, 2:11 pm
Unfortunately, Berthel Fisher is not alone. [read post]
25 Feb 2014, 8:00 am
According to FINRA, Berthel Fisher failed to supervise the sale of alternative investments, such as non-traded real estate investment trusts, and leveraged and inverse ETFs. [read post]
19 Nov 2013, 11:00 am
See Berthel Fisher & Co. [read post]
5 Nov 2013, 1:56 pm
According to McKee’s FINRA Broker Report, he worked with LPL from November 2002 through September 2008 and with Berthel Fisher from September 2008 through November 2010. [read post]
30 Aug 2013, 8:32 am
Thereafter, until 2011, Borakowski was registered with Berthel, Fisher & Company Financial Services, Inc. [read post]
26 Jul 2013, 7:13 pm
The White Law Group is investigating brokerage firms, including Berthel Fisher & Co. [read post]
31 Oct 2012, 3:00 pm
In Berthel Fisher & Co. [read post]
12 Oct 2012, 5:40 pm
Berthel Fisher & Co. [read post]
14 Aug 2012, 12:23 pm
Fisher said Milkie was not working as a manager at Berthel Fisher but was a producing registered rep. [read post]
14 Aug 2012, 5:46 am
Apparently, the vast majority of the registered representatives with Milkie/Ferguson will transfer to Berthel Fisher & Co. [read post]
14 Aug 2012, 5:46 am
Apparently, the vast majority of the registered representatives with Milkie/Ferguson will transfer to Berthel Fisher & Co. [read post]
14 Aug 2012, 5:46 am
Apparently, the vast majority of the registered representatives with Milkie/Ferguson will transfer to Berthel Fisher & Co. [read post]
14 Aug 2012, 5:46 am
Apparently, the vast majority of the registered representatives with Milkie/Ferguson will transfer to Berthel Fisher & Co. [read post]
12 Jun 2012, 10:59 am
Oral argument argued before the Eighth Circuit U.S. [read post]
3 May 2012, 8:15 pm
Finra Sanctions Citi, Morgan Stanley, UBS, Wells Fargo $9.1M For Leveraged ETFs, The Wall Street Journal, May 1, 2012 Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors, SEC FINRA investigating exchange-traded notes: spokesperson, Reuters, March 29, 2012 More Blog Posts: SEC to Investigate Seesawing Credit Suisse TVIX Note, Stockbroker Fraud Blog, March 30, 2012 Principals of Global Arena Capital Corp. and Berthel, Fisher &… [read post]
10 Apr 2012, 2:19 pm
Investor Bulletin: Municipal Bonds, SEC.gov Individual Posing as Investment Advisor Pleads Guilty to Wire Fraud Charges, FBI, March 16, 2012 FINRA Fines Citi International Financial $600,000 and Orders Restitution of $648,000 for Excessive Markups and Markdowns, FINRA, March 19, 2012 More Blog Posts: Principals of Global Arena Capital Corp. and Berthel, Fisher & Company Financial Services, Inc. [read post]
6 Apr 2012, 7:14 pm
In other FINRA-related news, Berthel, Fisher & Company Financial Services, Inc. registered principal Marsha Ann Hill has been suspended from associating with any Financial Industry Regulatory Authority member for a year. [read post]
23 Feb 2012, 7:26 am
McKee’s employers (LPL, Berthel Fisher, and Morgan Stanley) may have for failure to adequately supervise the actions of its agent. [read post]
4 Apr 2011, 9:02 am
$29,000 Notman Financial Group (affiliated with Berthell Fisher) $20,000 Capital Quest Securities Inc [read post]
