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Tag: Berthel Fisher lawsuit

Berthel, Fisher & Company Complaints and Regulatory Actions featured by top securities fraud attorneys, the White Law Group

Blog, FINRA SEC Sanctions, Securities Fraud Articles

April 6, 2023

Berthel, Fisher and Co.: Complaints and Regulatory Actions

The White Law Group reviews the regulatory history of Berthel, Fisher and Company Financial Services. The following is a review of...

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Berthel Fisher Investigation, Featured by Top Securities Fraud Attorneys, The White Law Group

FINRA SEC Sanctions, Securities Fraud Articles

April 21, 2017

FINRA Sues Berthel Fisher and Former Advisor

FINRA Sues Berthel Fisher and Former Advisor According to reports, FINRA is charging Berthel Fisher with failure to supervise sales of unit...

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Blog, Securities Fraud Articles

April 8, 2014

Berthel Fisher Settles DBSI Lawsuit

According to InvestmentNews, broker-dealer Berthel Fisher & Co. Financial Services Inc., “one of the biggest seller of DBSI...

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Blog, Securities Fraud Articles

February 21, 2011

Broker Dealers Suing Insurance Carriers Over Coverage

According to the Investment News, three independent broker-dealers are suing their respective insurance carriers for failing to cover...

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