Berthel Fisher & Company Financial Services – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Berthel Fisher & Company Financial Services. If you suffered losses investing with Berthel Fisher & Company Financial Services, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Berthel Fisher & Company Financial Services (CRD# 13609) (SEC# 8-29426)
As of August 24, 2016, Berthel Fisher & Company Financial Services’s FINRA BrokerCheck Report contains the following:
23 Regulatory Event Disclosures
0 Civil Event Disclosures
12 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
4201 42ND STREET NE
SUITE 100
CEDAR RAPIDS, IA 52402
Mailing Address
P. O. BOX 11340
CEDAR RAPIDS, IA 52410-1340
Business Telephone Number
319-447-5700
Direct Owners and Executive Officers
BERTHEL FISHER & COMPANY – 100% OWNER
BERNER, SARAH MAIRE (CRD# 4802796) – ASSISTANT CHIEF COMPLIANCE OFFICER
BERTHEL, THOMAS JOSEPH (CRD# 823289) – CEO/CHAIRMAN OF THE BOARD
BRENDENGEN, RONALD ODIN (CRD# 1675332) – TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15)/CHIEF OPERATING OFFICER
CHRISTOFFERSON, ANDREW JAMES (CRD# 3248381) – SENIOR VICE PRESIDENT BUSINESS DEVELOPMENT
DAVENPORT, SHELLEY RAE (CRD# 2131376) – ASSISTANT VP
DRISCOLL, JULIE KAY (CRD# 2269302) – SECRETARY (A/O 10/30/2014)
MURPHY, RICHARD MAURICE (CRD# 4893748) – PRESIDENT
O’HARA, KELLY (CRD# 6458792) – VICE PRESIDENT/CONTROLLER
SCHAUL, JOANNA MARIE (CRD# 4947759) – SENIOR VICE PRESIDENT/OPERATING OFFICER
WILCOX, RANDY AUSTIN (CRD# 4346998) – CHIEF COMPLIANCE OFFICER, BROKER-DEALER/VP REP RESOURCES (A/O 3/2016) & CHIEF COMPLIANCE OFFICER-RIA (A/O 6/2014)
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Berthel Fisher & Company Financial Services and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
