Violation Tracker Individual Record
Company:Berthel Fisher & Company Financial Services, Inc.
Date:September 16, 2021
Offense Group:financial offenses
Primary Offense:investor protection violation
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Iowa
Ownership Structure of Parent:privately held
Major Industry of Parent:financial services
Specific Industry of Parent:investment management
Source of Data:
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