Search for: "Berthel Fisher "
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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]
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]
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]
10 Jul 2020, 12:58 pm
Berthel Fisher has had a history of running afoul of investors and regulatory fines. [read post]
7 May 2019, 6:26 am
From August 2009 until September 2018 Neely was registered with Berthel Fisher. [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]
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]
12 Oct 2012, 5:40 pm
Berthel Fisher & Co. [read post]
12 Jun 2012, 10:59 am
Oral argument argued before the Eighth Circuit U.S. [read post]
1 Oct 2015, 6:21 am
(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]
16 Jan 2015, 12:01 pm
No.9: Berthel Fisher & Co. [read post]
5 Mar 2018, 1:28 pm
Louis, Alvery Bartlett Brokerage, Derand/Pennington/Bass, Mark Twain Brokerage Services, The Bartlett Fund Management Co. and Berthel, Fisher & Company. [read post]
4 Dec 2014, 10:18 am
According to his FINRA Broker Check Report, Charbonneau was registered with Feltl & Company from March 2005 through October 2010 and Berthel Fisher from November 2010 through December 2013. [read post]
9 Dec 2010, 11:29 am
As reported Dec. 8 by Investment News, the five biggest earners of commissions for selling DBSI include: Berthel Fisher & Co. [read post]
5 Feb 2018, 10:05 am
Donald Lueke was previously registered with MML Investors Services in Springfield, Massachusetts from February 1997 until October 1999, SII Investments in Appleton, Wisconsin from October 1999 until July 2004, Berthel, Fisher & Company in Kansas City, Missouri from July 2004 until May 2010 and NFP Advisor Services in Kansas City from May 2010 until March 2016. [read post]
8 Aug 2014, 3:08 pm
According to FINRA BrokerCheck, Tuttle worked in Florida with Berthel, Fisher & Company from 11/2005 to 08/2006, Gunnallen Financial from 09/2006 to 09/2007, and Merrimac Corporate Securities from 09/2007 to 07/2011. [read post]
