Securities Arbitration Lawyers BlogFINRA 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# 13609) of Burlington, MA, from 03/02/2007 to 09/23/2016, when Berthel terminated his registration and employment.
His previous employers include: