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Tag: Berthel Fisher & Co. sanctions

Blog, Current Investigations

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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Blog, Current Investigations

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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