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Recent Posts in Berthel Fisher Category

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"

FINRA fined and suspended former Ausdal Financial Partners, Inc. broker David Glenn Gott for selling over $500,000 in private investments for an outside business activity without the firm's ...
Continue reading "David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"" »

FINRA Files OHO Complaint Against Berthel Fisher, Jeffrey Dragon over UIT Sales Practices

FINRA filed a complaint against Berthel, Fisher & Co. Financial Services, Inc., and former broker Jeffrey Paul Dragon over unit investment trust (UIT) sales to elderly and unsophisticated ...
Continue reading "FINRA Files OHO Complaint Against Berthel Fisher, Jeffrey Dragon over UIT Sales Practices" »

Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses

The once-boisterous oil and gas sector has dramatically cooled, translating into multi-million dollar losses for investors improperly sold these risky products and leaving a flurry of frozen calls ...
Continue reading "Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses" »

JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice

With the SEC's recent issuance of a Wells Notice against the troubled Texas real estate investment trust (REIT) known as United Development Funding IV, or UDF IV, combined with NASDAQ's ...
Continue reading "JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice" »

Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales

FINRA fined Berthel, Fisher & Company Financial Services, Inc. and its affiliate, Securities Management & Research, Inc. a combined $775,000 for what regulators describe as supervisory ...
Continue reading "Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales" »
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