Search for: "Berthel Fisher "
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5 Apr 2023, 7:14 pm
Berthel, Fisher and Company Financial Services Inc. [read post]
11 May 2022, 9:25 am
Berthel Fisher & Co Accused of Supervisory and Compliance Issues Involving a Customer The Financial Industry Regulatory Authority (FINRA) announced that Berthel Fisher & Co. had been ordered to pay a $100K fine. [read post]
27 Apr 2022, 7:57 am
Berthel Fisher & Co. [read post]
10 Jun 2022, 7:28 am
In 2017, Berthel Fisher fired Cummings over allegations that he did not disclose tax liens in a timely fashion. [read post]
25 Feb 2014, 2:11 pm
Unfortunately, Berthel Fisher is not alone. [read post]
14 Jan 2021, 2:27 pm
Continue reading The post Berthel Fisher & Company Financial Services, Inc. [read post]
4 Feb 2020, 7:00 am
Continue Reading › The post Shepherd Smith Edwards and Kantas Investigates Former Berthel Fisher Broker Mason Gann appeared first on Investor Lawyers Blog. [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]
3 Jul 2019, 7:00 am
(Berthel, Fisher) has been subject to at least four customer complaints during the course of his career. [read post]
6 Feb 2018, 8:02 am
Did you lose money investing with Jeffrey Dragon or Berthel Fisher? [read post]
15 May 2018, 11:11 am
Berthel Fisher has reportedly been fined $225,000, and ordered to pay the total amount of $117,315.41, plus interest, in restitution to customers. [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]
5 Aug 2020, 4:00 am
Have you suffered losses in your Berthel Fisher account due to unsuitable recommendations by your broker? [read post]
9 Apr 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) fined broker-dealer, Berthel Fisher & Co. [read post]
8 Jan 2018, 8:13 am
Current Berthel, Fisher & Company Financial Services, Inc. [read post]
11 Feb 2020, 7:31 am
Advisor William Sines (Sines), currently employed by Berthel, Fisher & Company Financial Services, Inc. [read post]
21 Sep 2021, 1:23 pm
Berthel Fisher & Co. [read post]
8 Apr 2014, 3:45 pm
According to InvestmentNews, broker-dealer Berthel Fisher & Co. [read post]
18 Mar 2014, 11:21 am
Included in FINRA findings is Berthel Fisher affiliate, Securities Management & Research, also an Iowa-based company. [read post]
23 Aug 2018, 5:13 am
From July 2012 to February 2018, Gann was registered with Berthel Fisher. [read post]
