Jeffrey Paul Dragon
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Berthel, Fisher & Co. Financial Services, Inc. (CRD No, 13609), and Jeffrey Paul Dragon (CRD No. 1874038), Respondents. DISCIPLINARY PROCEED1NG No. 2014039169601 COMPLAINT The Department of Enforcement alleges: I. SUMMARY 1. Over a two-year period, Jeffrey Dragon, a registered representative of Berthel, Fisher & Co. Financial Services. Inc., generated more than $421,000 in concessions for himself
01/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Berthel, Fisher & Co. Financial Services, Inc. (CRD No. 13609), And Jeffrey Paul Dragon (CRD No. 1874038), Respondents. DISCIPLINARY PROCEEDING No. 2014039169601 HEARING OFFICER DIXON ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 8, 2018 INTRODUCTION Disciplinary Proceeding No. 2014039169601 was filed on March 20, 2017, by the
Reference 2014039169601data-portal.finra.orgdata-portal.finra.orgfinra.org
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