Month: February 2014

FINRA Sanctions Berthel Fisher for Compliance Failures

By Jessica Antoniades — posted in Regulatory Enforcement & Investigations, Securities Regulation & Compliance on Wednesday, February 26, 2014.

Disciplinary Actions FINRA

The Financial Industry Regulatory Authority (FINRA) recently fined the independent broker-dealer Berthel Fisher & Co. Financial Services Inc. and one…

Owners of Pacific Property Assets/Apartments America Charged With Fraud

By George C. Miller — posted in Regulatory Enforcement & Investigations on Friday, February 7, 2014.

Disciplinary Actions Enforcement Actions

The FBI recently indicted Michael Stewart of Phoenix, Arizona, and John Packard, of Long Beach, California, for allegedly operating a…