Category Archives: Securities Management & Research

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

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 oil and gas programs.

FINRA found that from January 2008 to December 2012, Berthel Fisher had inadequate supervisory systems and written procedures for sales of alternative investments  like:

  • 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

If you have losses in oil and gas investments purchased from Berthel Fisher, contact us to learn how you may be able to recover damages through  FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900