Joshua Eugene Stroud of Springfield Oregon a stockbroker formerly employed by Berthel Fisher Company Financial Services Inc. is the subject of a customer initiated investment related arbitration claim which was resolved for $22,500.00 in damages supported by allegations that (1) Stroud made misrepresentations to the customer concerning business development company and real estate security investments […]
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Tag Archives: Liberty Partners Financial Services
Berthel Fisher Sued By Investors For REIT Fraud
March 04, 2019 | Posted by : Guiliano Law Group | Business Development Companies, Investment and Regulatory News, Non-traded REITs, Securities Arbitration Claims, Unsuitable Investment Recommendations | 0 Comments
FINRA Accuses Liberty Partners Of Supervisory Failures
December 23, 2017 | Posted by : Guiliano Law Group | Churning, Failure To Supervise, Investment and Regulatory News | 0 Comments
Jeffrey Allen Fanning, of West Palm Beach, Florida, a former chief executive officer of Liberty Partners Financial Services, LLC, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Fanning, inter alia, failed to supervise stockbrokers’ activities for excessive trading in customer accounts. Department of Enforcement v. Jeffrey […]
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