Berthel Fisher oil and gas partnership
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  • Berthel Fisher Fined by FINRA

    February 25, 2014 Comments (0) Blog, Securities Fraud

    According to reports, FINRA recently fined broker-dealer Berthel Fisher and an affiliate $775,000 in connection with compliance failures, including inappropriate sales of alternative investments  and nontraditional exchange-traded funds. According to FINRA, Berthel Fisher failed to supervise the sale of alternative

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