Nex Systems
Type not stated

Berthel, Fisher & Company Financial Services Inc.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090162559 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Berthel, Fisher & Company Financial Services. Inc. Member, CRD No. 13609 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Berthel, Fisher & Company Financial Services, Inc. (Berthel Fisher) submits this Letter of Acceptance

    Reference 2009016255901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C040500_17 To: Department of Enforcement NASD Re: Berthel, Fisher & Company Financial Services, Inc. Member (CRD No. 13609) and Craig Vincent Mineart Registered Equities Trader, General Securities Principal, and Options Principal (CRD No. 2642191) Pursuant to NASD Procedural Rule 9216, Berthel, Fisher & Company Financial Services, Inc. (Berthel Fisher) and Craig Vincent Mineart (Mineart) (collectively referred to as Respondents) submit this Letter of

    Reference C04050017finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E04200500018-02 To: Department of Enforcement NASD Re: Berthel, Fisher & Company Financial Services, Inc. Member (CRD No. 13609) Pursuant to NASD Procedural Rule 9216, Berthel, Fisher & Company Financial Services, Inc. (BFCFSI) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

    Reference E042005001802data-portal.finra.orgfinra.org

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