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Finra dings Berthel Fisher for poor supervision of options trades

Berthel Fisher

Finra said last summer that it was launching an examination sweep probing the opening of options accounts.

The Financial Industry Regulatory Authority Inc. said Tuesday that it fined Berthel Fisher & Co. Financial Services Inc. $100,000 for falling short on compliance related to options trades in a client's account.

Options are highly complicated trading instruments, and while options trades have

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