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berthel fisher problem

Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons

Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons 150 150 Rex Securities Law

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…

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Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension

Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension 150 150 Rex Securities Law

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…

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Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…

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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 150 150 Rex Securities Law

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…

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Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX

Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX 150 150 Rex Securities Law

August 7,  2015- Dallas, Texas  FINRA records disclose that Daniel E. Levin  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…

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Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Rex Securities Law

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Rex Securities Law

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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