Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Berthel, Fisher & Co. Financial Services, Inc. (CRD # 13609) was recently [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that now former broker/investment adviser, Matthew Alexander Perry (Alex Perry) (CRD # 5985300) was recently [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Cesar Hurtado (CRD # 4137948) was recently suspended from the securities industry [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser and former Chief Compliance Officer Corey Andrew White (CRD # 4537015) was [...]
Does your brokerage firm have liability for on-line trading losses? Recent occurrences in the retail brokerage industry, including “no commission” trading and the introduction of apps [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker/adviser Efrain Trujillo (CRD # 3106482) was recently barred from the securities [...]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Albert Dishner (CRD No. 1912362) was recently suspended from the securities industry [...]
