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Articles Posted in Securities Management & Research Inc.

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Berthel Fisher, Affiliate Fined Regarding Sales of ETFs and Non-traded REITs

Securities fraud lawyers are currently investigating claims on behalf of the customers of Berthel Fisher & Co. Financial Services Inc. and Securities Management & Research Inc., a Berthel Fisher affiliate in Marion, Iowa. In February, the Financial Industry Regulatory Authority (FINRA) announced that it had fined the two a total…

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