An irreverent Wall Street Blog
by Bill Singer

Registered Rep Magazine's "Street Legal" Column Now Online. The saga of a bankrupt broker

March 7, 2011

  

Street Legal: Beware the Bankrupt FinancialAdvisor

In December 2000, Centaurus Financial hired Bart B. Bertholic as an independent registered representative and investment advisor. Centaurus knew about his 1991 personal bankruptcy and two unsatisfied IRS judgment liens. Some would say, No big deal … that's history. On the other hand, there's still that question mark about a rep who can't handle his own finances. Although I'm not taking sides here, Centaurus would have been well-advised to keep Bertholic on a short leash.

READ BILL SINGER'S ANALYSIS OF A FINRA ARBITRATION FILED BY BERTHOLIC'S FORMER CLIENTS AGAINST CENTAURUS:

 
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