fbpx

berthel fisher

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

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

read more

Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO

Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO 150 150 Rex Securities Law

July 2021 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a stockbroker who is currently employed by Aegis Capital and who previously worked for…

read more

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

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

Thomas Charbonneau Barred from Securities Industry

Thomas Charbonneau Barred from Securities Industry 150 150 Rex Securities Law

Thomas Neil Charbonneau of Arden Hills, MN, was barred from the securities industry to resolve FINRA allegations that between October 2008 and May 2013, he sold 1.7 million shares of…

read more

Karen Chafe, Former Berthel, Fisher Broker(Melbourne Beach, FL)FIned/Suspended by FINRA

Karen Chafe, Former Berthel, Fisher Broker(Melbourne Beach, FL)FIned/Suspended by FINRA 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) suspended Karen Lee Chafe of Melbourne Beach, Florida, for a year, effective June 16, 2014, and assessed a fine of $5,000 based on findings…

read more