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A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in Berthel Fisher & Company

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FINRA Suspends Broker Jeffrey Paul Dragon For Excessive UIT Trading

FINRA has suspended broker Jeffrey Paul Dragon (CRD# 1874038) for 21 months and sanctioned him $50,000 in relation to a series of customer complaints.  He has since been subjected to a second customer dispute after being terminated. Dragon was last employed by Berthel Fisher & Company Financial Services, Inc. (CRD#…

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