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Tag: Berthel Fisher & Co. sanctions

FINRA Sanctions Berthel Fisher & Co. for Unsuitable Options Trading, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

April 27, 2022

FINRA Sanctions Berthel Fisher for Unsuitable Options Trading 

Berthel Fisher & Co. Censured & Fined for Failure to Supervise Unsuitable Options Trading  According to a document posted this...

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Berthel Fisher & Co. Sanctioned for Mutual Fund Overcharges, featured by top securities fraud attorneys, The White Law Group

Blog, Current Investigations

September 21, 2021

Berthel Fisher & Co. Sanctioned for Mutual Fund Overcharges 

Berthel Fisher & Co. Sanctioned for Mutual Fund Overcharges  According to an administrative order on September 17, the Securities and...

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