Violation Tracker Parent Company Summary

Parent Company Name: 
Berthel Fisher
Ownership Structure: 
privately held
Headquartered in: 
Iowa
Major Industry: 
financial services
Specific Industry: 
investment management
Penalty total since 2000: 
$786,179
Number of records: 
9
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$786,1799
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$786,1799
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.

Associated Names: 

Berthel Fisher & Company; Berthel Fisher and Company Financial Services Inc.

Links: 

For an overview of assistance this company is receiving under the CARES Act, see its Covid Stimulus Watch summary page here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
Berthel Fisher & Company Financial Services, Inc investor protection violation 2019 NH-BSR $415,407
Berthel Fisher & Company Financial Services, Inc. investor protection violation 2007 MO-SEC $230,469
Berthel Fisher & Company Financial Services, Inc. investor protection violation 2013 MO-SEC $80,000
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 2003 ND-SEC $12,303
Berthel Fisher & Company investor protection violation 2003 MN-FIN $10,000
Berthel Fisher and Company Financial Services Inc. investor protection violation 2006 ND-SEC $8,000
Berthel Fisher & Company Financial Services, Inc. investor protection violation 2011 MO-SEC $5,000
Berthel, Fisher & Company Financial Services, Inc. investor protection violation 2007 NE-DBF $5,000
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