• John Harman, Formerly of Berthel Fisher and Royal Alliance, Suspended by FINRA for Violating FINRA Rule 2010
• Mason Gann, Formerly of Berthel Fisher, Suspended by FINRA Over Alleged Unsuitable Investments
• Jeremy Rosen, Broker for Nationwide Planning Associates, Inc., Accused of Making Unsuitable Recommendations
• Berthel Fisher Faces Class Action For Misrepresentations and Omissions