Tag Archives: Mason Wayne Gann

FINRA Suspends Berthel Stockbroker For Misconduct

Mason Wayne Gann of Dallas Texas a stockbroker formerly registered with Berthel Fisher Company Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that defrauded an elder customer by engaging in unsuitable options trading. Letter of Acceptance Waiver and Consent No. […]

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FINRA Fines Berthel Fisher Broker For Unauthorized Trading

April 18, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Mason Wayne Gann of Dallas Texas is a stockbroker formerly registered with Berthel Fisher and Company Financial Services Inc. who has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he placed unauthorized transactions in customers’ investment accounts. Letter of […]

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