| 15-01634 | 03/16/2016 | Claimant(s): Michael L. Kennedy 1998 Trust
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Nicole Lomibao
Arbitrator(s): John J. Flynn, Robert H. Cornell, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206 |
| 14-02075 | 07/17/2015 | Claimant(s): Carole Smith, Michael Smith, NNN Parkway Corporate Plaza 10
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): John Notman, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): John Shaw Notman, Nicole Lomibao
Arbitrator(s): William Ziering, Carol Ann Jensen, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 13-02079 | 06/23/2015 | Claimant(s): Muriel Sturm
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Christopher J. Scanlon
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000 |
| 14-00952 | 04/02/2015 | Claimant(s): Anita Dial, Anita Dial IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Debra L. Weiss
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | $0 |
| 13-03016 | 02/26/2015 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Fred Hamsayeh, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson, Fred Hamsayeh
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01997 | 09/25/2014 | Claimant(s): Brad Nord, Cheryl Nord, Nord Cos. Inc., Bradley S. Nord IRA
Claimant Lawyers(s): Brad Nord
Respondent(s): Anthony Bauer, Berthel, Fisher & Company Financial Serv, Prospera Financial Services.
Respondent Lawyers(s): Cory D. Olsen, Jeff I. Nicodemus
Arbitrator(s): Douglas J. Nesbit, Robert Lee Nelson, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $0 |
| 11-04331 | 03/07/2013 | Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders
Hearing Site: Des Moines, IA
| | $0 |
| 11-00576 | 07/06/2012 | Claimant(s): Janet Bowman, Geneva OSWX I, Janet Furman Bowman Trust
Claimant Lawyers(s): Dan J. Suppalla
Respondent(s): Richard Murphy, Thomas Biesheuvel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Stephen J. Holtman
Arbitrator(s): Douglas G. Plank, Susan M. Sanger, Todd W. Schnell
Hearing Site: Minneapolis, MN
| | $0 |
