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Berthel Fisher lawsuit
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Berthel Fisher Investigation, Featured by Top Securities Fraud Attorneys, The White Law Group

April 21, 2017

Berthel Fisher Charged with Failure to Supervise.

FINRA Sues Berthel Fisher and Former Advisor According to reports, FINRA is charging

April 8, 2014

Berthel Fisher Settles DBSI Lawsuit

According to InvestmentNews, broker-dealer Berthel Fisher & Co. Financial

September 26, 2011

Securities Regulatory Information Regarding Berthel, Fisher & Company Financial Services

The following is a brief breakdown of publicly available information regarding

February 21, 2011

Broker Dealers Suing Insurance Carriers Over Coverage For Customer Claims

According to the Investment News, three independent broker-dealers are suing their

Berthel Fisher & Co. Sanctioned for Mutual Fund Overcharges
September 21, 2021
FINRA Award: UBS to Pay Investors $358,000 for YES Strategy
September 17, 2021
RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal...
September 17, 2021
Deutsche Bank Securities Censured & Fined
September 13, 2021

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