berthel fisher finra problem Archives - Rex Securities Law-BLOG

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June 19, 2023
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Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA

Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 19, 2023 June 19, 2023

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…

Rex Securities Law
April 3, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 3, 2023 April 3, 2023

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…

Rex Securities Law
June 25, 2020
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Bethel Fisher Discloses SEC Investigation and Customer Lawsuits

Bethel Fisher Discloses SEC Investigation and Customer Lawsuits http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 25, 2020 June 25, 2020

June 2020 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that the company is being investigated by the Securities and Exchange Commission (SEC) regarding whether the company …

Rex Securities Law
October 14, 2019
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Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 14, 2019 October 14, 2019

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis , a stockbroker who was last employed by Independent Financial Group , disclose 6 pending customer disputes and 2 prior customer disputes. The Financial…

Rex Securities Law
March 23, 2018
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Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 23, 2018 September 20, 2022

Mason Gann Investigation September 2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…

Rex Securities Law
April 24, 2017
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Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons

Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 24, 2017 April 24, 2017

April 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…

Rex Securities Law
June 13, 2016
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Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension

Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2016 June 13, 2016

Dawsonville, Georgia According to FINRA records, Timothy C. Moody , a stock broker employed by Moody Capital Solutions , discloses a recent regulatory action. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

Rex Securities Law
February 6, 2016
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Rex Securities Law Investigates Former VSR Financial Broker Charles Chapman-Richardson, Texas

Rex Securities Law Investigates Former VSR Financial Broker Charles Chapman-Richardson, Texas http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 6, 2016 February 6, 2016

Richardson, Texas Rex Securities Law is investigating former VSR Financial Services broker Charles E. Chapman in connection with the sale of various direct investments including real estate securitie, equipment leasing investments, promissory notes and…