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Violation Tracker Current Parent Company Summary
Current Parent Company Name: Berthel Fisher
Ownership Structure: privately held
Headquartered in: Iowa
Major Industry: financial services
Specific Industry: investment management
Penalty total since 2000: $1,950,604
Number of records: 11
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
| financial offenses | $1,950,604 | 11 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| investor protection violation | $1,950,604 | 11 |
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the
Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.
| Company | Primary Offense Type | Year | Agency  | Penalty Amount |
| Berthel Fisher & Company Financial Services, Inc. | investor protection violation | 2021 | SEC | $389,425 |
| Berthel Fisher & Company Financial Services, Inc | investor protection violation | 2019 | NH-BSR | $415,407 |
| Berthel, Fisher & Company Financial Services, Inc. | investor protection violation | 2007 | NE-DBF | $5,000 |
| Berthel Fisher and Company Financial Services Inc. | investor protection violation | 2003 | ND-SEC | $12,303 |
| Berthel Fisher and Company Financial Services Inc. | investor protection violation | 2004 | ND-SEC | $20,000 |
| Berthel Fisher and Company Financial Services Inc. | investor protection violation | 2006 | ND-SEC | $8,000 |
| Berthel Fisher & Company Financial Services, Inc. | investor protection violation | 2007 | MO-SEC | $230,469 |
| Berthel Fisher & Company Financial Services, Inc. | investor protection violation | 2011 | MO-SEC | $5,000 |
| Berthel Fisher & Company Financial Services, Inc. | investor protection violation | 2013 | MO-SEC | $80,000 |
| Berthel Fisher & Company | investor protection violation | 2003 | MN-FIN | $10,000 |
| Berthel Fisher & Company Financial Services, Inc. | investor protection violation | 2014 | FINRA | $775,000 |
