Search for: "Berthel Fisher "
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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]
27 Dec 2023, 6:09 pm
The claims further alleges that alternative investment transactions recommended by Shawn Davis were inappropriate and that Independent Financial Group and Davis’ former securities broker dealer employers Berthel Fisher and WFG Investments failed to supervise the transactions effected in the customer’s account. [read post]
24 Apr 2023, 10:33 pm
Customers of Berthel Fisher Sought $32.1M in Damages From Brokerage-Dealer Our Experienced Alternative Investment Fraud Lawyers Are Investigating Investor Losses According to the yearly audited financial statement submitted by Berthel Fisher to the US Securities and Exchange Commission (SEC) in March, the broker-dealer concluded 2022 with about $32.1M in pending investor loss claims. [read post]
5 Apr 2023, 7:14 pm
Berthel, Fisher and Company Financial Services Inc. [read post]
26 Jul 2022, 12:09 pm
To learn more see: FINRA Sanctions Berthel Fisher & Co. for Unsuitable Options Trading and Morgan Stanley Harvest CYES Investment Losses The post Overview and Risks of an Options Trading Strategy appeared first on The White Law Group. [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]
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]
22 Apr 2022, 3:49 am
After the SEC's PAUSE, We're Left Wondering Why (BrokeAndBroker.com Blog)<a href="#berthel">FINRA Censures and Fines Berthel, Fisher For Unsuitable Options RecommendationsIn the Matter of Berthel, Fisher & Co. [read post]
1 Apr 2022, 8:13 am
Steve Jeffrey Cummings of Alabama is a previously registered broker; most recently employed by 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]
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]
21 Sep 2021, 1:23 pm
Berthel Fisher & Co. [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]
14 Jan 2021, 2:27 pm
Continue reading The post Berthel Fisher & Company Financial Services, Inc. [read post]
26 Nov 2020, 12:09 pm
The claims further alleges that alternative investment transactions recommended by Shawn Davis were inappropriate and that Independent Financial Group and Davis’ former securities broker dealer employers Berthel Fisher and WFG Investments failed to supervise the transactions effected in the customer’s account. [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]
10 Jul 2020, 12:58 pm
Berthel Fisher has had a history of running afoul of investors and regulatory fines. [read post]
27 May 2020, 7:32 am
In the securities industry since 2008, he was previously registered with Berthel, Fisher & Company Financial Services, Inc. [read post]
