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Tom Berthel steps down as CEO of Berthel Fisher B-Ds, remains at holding company
Berthel Fisher has been known to sell a variety of alternative investments, which at times can be expensive and volatile.
Potential investor claims go through the roof at Berthel Fisher
Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.
Finra dings Berthel Fisher for poor supervision of options trades
Finra said last summer that it was launching an examination sweep probing the opening of options accounts.
Berthel Fisher latest to face penalty over fund charges
The SEC has been cracking down on disclosures surrounding payments by funds to broker-dealers and RIAs. The agency launched an initiative in February 2018 to target advisory firms that recommended high-fee mutual funds.
