Berthel Fisher and Company

  • Robert Rex, Esq.

Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO
Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO 150 150 Robert Rex, Esq.

April 2025 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a previously registered stockbroker who was last employed by Aegis Capital and who previously…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Berthel Fisher & Company Financial Services Broker Bill Sines
Rex Securities Law Investment Fraud Attorney Investigates Berthel Fisher & Company Financial Services Broker Bill Sines 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Seminole, Florida) Bill Sines Investigation Summary Here’s what you need to know about Seminole, FL, stockbroker Bill Sines: Name: Mr. William C. Sines Current Employer: Berthel…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Chris Ordway formerly with Berthel Fisher & Company Financial Services
Rex Securities Law Investment Fraud Attorney Investigates Chris Ordway formerly with Berthel Fisher & Company Financial Services 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Phoenix, AZ) Chris Ordway Investigation Summary Here’s what you need to know about Phoenix, AZ, stockbroker Chris Ordway: Name: Mr. Christopher Edward Ordway Current Employer: Not…

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Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 ER

June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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  • Robert Rex, Esq.

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN
Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Robert Rex, Esq.

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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  • Robert Rex, Esq.

Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 Robert Rex, Esq.

April 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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  • Robert Rex, Esq.

Bethel Fisher Discloses SEC Investigation and Customer Lawsuits
Bethel Fisher Discloses SEC Investigation and Customer Lawsuits 150 150 Robert Rex, Esq.

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 …

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  • Robert Rex, Esq.

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA
Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Robert Rex, Esq.

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis  , a stockbroker who was last employed by  Independent Financial Group , disclose 6 pending customer disputes and  2 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX
Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX 150 150 Robert Rex, Esq.

May 2018-Houston, Texas According to FINRA records,  Meredith Ann McCutchen ,   a stock broker who was previously  employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

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  • Robert Rex, Esq.

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 Robert Rex, Esq.

Mason Gann Investigation September  2022- 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…

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