Search for: "Berthel Fisher & Company Financial Services Inc."
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25 May 2017, 5:04 am
From November 2002 until March 2014, Eng was associated with Berthel, Fisher & Company Financial Services, Inc. [read post]
16 Jan 2015, 12:01 pm
No.9: Berthel Fisher & Co. [read post]
1 Oct 2015, 6:21 am
Thereafter, McGriskin has been registered with Berthel, Fisher & Company Financial Services, Inc. [read post]
12 Oct 2012, 5:40 pm
Financial Services Inc. v. [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]
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]
4 Apr 2011, 9:02 am
$29,000 Notman Financial Group (affiliated with Berthell Fisher) $20,000 Capital Quest Securities Inc [read post]
20 May 2020, 1:57 pm
Berthel, Fisher & Company Financial Services Next Financial Group, Inc Roveccio, Rocco First Standard Financial Company LLC Alexander Capital, LP Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
1 Jul 2018, 4:37 am
From July 2002 to June 2013, Repasz was registered with Berthel, Fisher & Company Financial Services, Inc. [read post]
16 Dec 2010, 8:46 am
$29,000 Notman Financial Group (affiliated with Berthell Fisher) $20,000 Capital Quest Securities Inc [read post]
19 Jan 2024, 7:37 am
(CRD#:16783), LAGUNA HILLS, CA B, 01/23/2008 – 12/31/2013, BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. [read post]
30 Aug 2013, 8:32 am
Thereafter, until 2011, Borakowski was registered with Berthel, Fisher & Company Financial Services, Inc. [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]
Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
Kazmi is currently registered as a broker with Berthel, Fisher & Company Financial Services, Inc. [read post]
Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
Kazmi is currently registered as a broker with Berthel, Fisher & Company Financial Services, Inc. [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 Oct 2015, 6:54 am
Thereafter, from June 2012, until September 2012, Levin was associated with Berthel, Fisher & Company Financial Services, Inc. [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]
27 Dec 2021, 9:38 am
Kameise Bickham Anthony Bookman Seaport Global Securities LLC Pickwick Capital Partners, LLC Bernard Chevalier Michael Dorband Berthel, Fisher & Company Financial Services, Inc. [read post]
22 Feb 2022, 12:09 pm
Anthony Bookman Seaport Global Securities, LLC Pickwick Capital Partners, LLC Bernard Chevalier Michael Dorband Berthel Fisher & Company Financial Services Inc. [read post]
