Potomac Analytics' Logo

FINRA Awards for Berthel Fisher & Co. Financial Svcs. Inc

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0158603/18/2022Claimant(s): Binnie Phung
Claimant Lawyers(s): Zachary S. Morse
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Shelley R. Davenport
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
21-0191103/10/2022Claimant(s): Joseph Weinbauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Shelley R. Davenport
Arbitrator(s): Gregory G. Gocek
Hearing Site: St. Louis, MO
20-0302809/08/2021Claimant(s): Joshua Stroud
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Sara B. Davis, Shelley Davenport
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
19-0180308/02/2021Claimant(s): Anna Creagh, Jon and Mary Anne Tegethoff, Richard and Karen Neuhengen, Anna Marie Creagh Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Genevieve Mar, Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Robert J. Scafuri, Stanley H. Michelstetter, Timothy Schoewe
Hearing Site: Milwaukee, WI
Checkmark Icon$477,000
20-0189806/10/2021Claimant(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
Checkmark IconDismissed by FINRA 12206
20-0102801/13/2021Claimant(s): Diane Ranck, Robert Ranck
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson
Hearing Site: Des Moines, IA
Checkmark IconDismissed by Rule 12206
19-0130510/21/2020Claimant(s): Margaret McDonnell, Michael McDonnell, Madeline R. Stierwalt
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Ray J. Grzebielski, Jonathan B. Gilbert, Edward Louis Koven
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12206/12504
20-0049408/12/2020Claimant(s): Alexander Skabry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Shelley Davenport
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
19-0196202/18/2020Claimant(s): Jahanguir Azodi
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc, Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Carr, Shelley Davenport
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO

9 Results

Display: