Articles Posted in Business Development Companies (BDCs)

St. Augustine, Florida Financial Advisor Charles Thomas Stevens, Formerly of D.h. Hill Securities, Llp, Barred by Finra
Iorio Law PLLC

The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Charles Thomas Stevens from the securities industry for failing to appear and provide on-the-record testimony. On December 1, 2020, FINRA’s Department of Enforcement filed a three-cause complaint against Mr. Stevens. The first cause of action charged that Mr. Stevens willfully failed to disclose a judgment and…

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Berthel Fisher & Company Financial Services, Inc. Customer in Layton, Utah Filed Finra Arbitration Complaint About Reits and Bdcs
Iorio Law PLLC

A Berthel Fisher & Company Financial Services, Inc. customer has recently filed a complaint with FINRA Dispute Resolution Services alleging that former broker Robyn D. Simons recommended unsuitable investments in real estate investment trusts (REITs) and business development companies (BDCs). The investments were reportedly purchased between 2014 and 2016. The complaint also alleges that Berthel…

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