| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor
Hearing Site: Phoenix, AZ
|  | Dismissed by FINRA 12206 |
| 17-01368 | 07/15/2019 | Claimant(s): Chad Greer, Jerry Trawick, Louise Trawick, Marilyn Bjornas, Michelle Greer, Richard Bjornas
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Jerry McCutchen, Richard Murphy, Ronald Brendengen, Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Lita S Menkin, Mark A. Myers, Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | $1,161,120 |
| 17-00503 | 02/22/2019 | Claimant(s): Ronald Janicki
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Robert Weiss, Securities Management & Research.
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Francis A. King
Hearing Site: Pittsburgh, PA
| | $11,043 |
| 18-01092 | 11/20/2018 | Claimant(s): Linda Langille, Robinson Langille
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Royal Alliance Associates., Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Bradley A. Fishman, Peter J. McElligott
Arbitrator(s): Dean J. Dietrich, Clifford A. Threlkeld, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 18-00156 | 10/24/2018 | Claimant(s): Elizabeth Cleary
Claimant Lawyers(s): Michael Vigorito
Respondent(s): Berthel, Fisher & Company Financial Ser.
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): B. John Dill, Paul A. Auerbach, Peter Andrew Marx
Hearing Site: Boston, MA
| | $0 |
