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Alternative Investments

Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA

Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 ER

June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA

Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA 150 150 ER

Dimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…

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Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Rex Securities Law

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA

Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 Rex Securities Law

April 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN

Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN 150 150 ER

Shad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of  Shad Ketcher,  a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Pamela Espinosa-Kestra Investment Broker- Discloses Pending $1 Million Pending Customer Dispute – Albuquerque, NM

Pamela Espinosa-Kestra Investment Broker- Discloses Pending $1 Million Pending Customer Dispute – Albuquerque, NM 150 150 ER

Pamela Espinosa Investigation March 2023- Albuquerque, NM According to publicly available records,  Pamela Sue Espinosa  a Kestra Investment Services broker discloses a $1M pending customer dispute. The Financial Industry Regulatory…

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John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL

John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation March 2023- Boca Raton, FL  According to publicly available records,  John Zaffarano  an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…

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Kennister Daley-Allstate Financial Services Broker- Discloses Pending Customer Dispute Involving Non Traded REIT- Boynton Beach, FL

Kennister Daley-Allstate Financial Services Broker- Discloses Pending Customer Dispute Involving Non Traded REIT- Boynton Beach, FL 150 150 ER

Kennister Daley  Investigation September 2022- Boynton Beach, FL  According to publicly available records,  Kennister U. Daley,  an Allstate Financial Services broker discloses a currently pending customer dispute. The Financial Industry…

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Betsy Whipple-Newbridge Securities Broker-Customer Seeks $500,000 For Alternative Investment Loss- Hiko, NV

Betsy Whipple-Newbridge Securities Broker-Customer Seeks $500,000 For Alternative Investment Loss- Hiko, NV 150 150 Rex Securities Law

Betsy Whipple Newbridge Securities Investigation Hiko, Nevada According to publicly available records Betsy Lou Whipple, a broker who works for Newbridge Securities Corp. ,  discloses that a customer is seeking damages…

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