In February 2014, the Industry Regulatory Authority (FINRA) fined Berthel Fisher & Company Financial Services and its affiliate, Securities Management & Research of Marion, Ohio, $775,000 for supervisory deficiencies, including Berthel Fisher’s failure to supervise the sale of alternative investments, including:
- non-traded real estate investment trusts (REITs)
- leveraged and inverse exchange traded funds (ETFs)
- managed futures
- oil and gas programs
- equipment leasing programs
- business development companies
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900