fbpx

Berthel Fisher and Company

Bethel Fisher Discloses SEC Investigation and Customer Lawsuits

Bethel Fisher Discloses SEC Investigation and Customer Lawsuits 150 150 Rex Securities Law

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 …

read more

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 150 150 Rex Securities Law

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…

read more

Alvery Bartlett- Former Berthel, Fisher & Co. Broker-Discloses Customer Suits Seeking $10M+-St. Louis, MO

Alvery Bartlett- Former Berthel, Fisher & Co. Broker-Discloses Customer Suits Seeking $10M+-St. Louis, MO 150 150 Rex Securities Law

September 2019 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a stockbroker who is currently employed by Arete Wealth Management and who previously worked…

read more

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX 150 150 Rex Securities Law

May 2018-Houston, Texas According to FINRA records,  Meredith Ann McCutchen ,   a stock broker who was previously  employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

read more

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 150 150 Rex Securities Law

October  2020- 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 by Berthel Fisher…

read more

Jonathan T. Pyne-Berthel Fisher Financial Advisor Discloses Customer Suits-Minneapolis, MN

Jonathan T. Pyne-Berthel Fisher Financial Advisor Discloses Customer Suits-Minneapolis, MN 150 150 Rex Securities Law

April 2021 -Minneapolis, MN Jonathan Todd Pyne (aka Jon Pyne )  ,  a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 1 pending customer dispute and…

read more

Dennis Rasmusson- Former VSR Financial Broker- Discloses Customer Disputes-Scottsdale, AZ

Dennis Rasmusson- Former VSR Financial Broker- Discloses Customer Disputes-Scottsdale, AZ 150 150 Rex Securities Law

April 2017- Scottsdale, AZ The FINRA records of  Dennis D. Rasmusson,  a  stockbroker who is currently employed by  Berthel, Fisher & Company Financial Services, Inc.  and was previously employed by VSR Financial Services, disclose a…

read more

Jonathan T. Pyne-Berthel Fisher Broker-Discloses Settlements Over Alternative Investments-Minneapolis, MN

Jonathan T. Pyne-Berthel Fisher Broker-Discloses Settlements Over Alternative Investments-Minneapolis, MN 150 150 Rex Securities Law

May 2017-Minneapolis, MN The FINRA records of  Jonathan T. Pyne (aka Jon Pyne )  ,  a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services disclose a pending customer dispute and 3…

read more

Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH

Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH 150 150 Rex Securities Law

April 2017-Manchester, NH The FINRA records of  Frank Charles Scarito ,  a  stockbroker who is currently  employed by  Berthel, Fisher & Co.  disclose a prior final customer dispute that was resolved with a cash…

read more