berthel fisher problem Archives

Robert Rex, Esq.
March 8, 2016

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 8, 2016 March 8, 2016

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…

Robert Rex, Esq.
February 6, 2016

Rex Securities Law Investigates Former VSR Financial Broker Charles Chapman-Richardson, Texas

Rex Securities Law Investigates Former VSR Financial Broker Charles Chapman-Richardson, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 6, 2016 October 4, 2023

Richardson, Texas Rex Securities Law is investigating former VSR Financial Services broker Charles E. Chapman in connection with the sale of various direct investments including real estate securitie, equipment leasing investments, promissory notes and…

Robert Rex, Esq.
November 17, 2015

Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX

Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 17, 2015 November 17, 2015

August 7, 2015- Dallas, Texas FINRA records disclose that Daniel E. Levin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…

Robert Rex, Esq.
August 12, 2015

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 12, 2015 August 12, 2015

August 4, 2015 Daniel Levin, of Dallas, TX , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

Robert Rex, Esq.
July 10, 2015

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 10, 2015 July 10, 2015

UPDATE MARCH 2017-In April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016. Smith currently discloses a total of 13 prior customer…