Search for: "Berthel Fisher "
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26 Jul 2013, 7:13 pm
The White Law Group is investigating brokerage firms, including Berthel Fisher & Co. [read post]
22 Jul 2019, 4:54 am
FINRA Panel Awarded Investors More than $1M for Sales or REITS and Other Complex ProductsIn a case that points up many of the problems that have been plaguing the securities industry for years, a FINRA panel of arbitrators awarded six investors more than $1M in relief after they alleged that a financial advisor and three executives for Berthel Fisher & Co sold them unsuitable complex products.The panel found that the Berthel executives, Thomas Berthel, Ronald… [read post]
31 Oct 2012, 3:00 pm
In Berthel Fisher & Co. [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]
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]
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]
3 Jul 2018, 11:46 am
(Berthel, Fisher & Company) broker Scott Barcomb (Barcomb). [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]
6 Feb 2018, 12:38 pm
Thus, Berthel Fisher supervisory system was not reasonably designed to prevent short-term and potentially excessive UIT trading. [read post]
1 Oct 2014, 6:26 am
., Berthel, Fisher & Company Financial Services, Inc., VSR Financial Services, Inc., among others. [read post]
4 May 2018, 8:20 am
Dragon was last employed by Berthel Fisher & Company Financial Services, Inc. [read post]
27 Dec 2019, 11:12 am
Advisor Genevieve Mar (Mar), currently employed by Berthel, Fisher & Company Financial Services, Inc. [read post]
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]
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]
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]
5 Dec 2014, 6:19 am
(Berthel Fisher). [read post]
19 Nov 2013, 11:00 am
See Berthel Fisher & Co. [read post]
28 Jan 2020, 10:07 am
Gann, Berthel Fisher & Company in Dallas, TX Are you concerned about investments with Mason W. [read post]
13 Aug 2015, 6:27 am
(Berthel Fisher). [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]
