16-01352 | 01/12/2017 | Claimant(s): Denise Weiss Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Mickey B. Wright Arbitrator(s): Harvey R. Linder Hearing Site: Birmingham, AL
| | $600 |
16-01107 | 11/18/2016 | Claimant(s): Arlys Dean, Darrel Dean, Darrel A. Dean Revocable Living Trust Claimant Lawyers(s): Ross David Carmel Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Herbert Liberman, Peter M Brabbee, Kevin C. Coleman Hearing Site: Reno, NV
| | Dismissed by Rule 12206 |
15-00888 | 07/19/2016 | Claimant(s): Ranjit Singh, Kingsboro Claimant Lawyers(s): Kevin Galbraith Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Vincent Louwagie Arbitrator(s): Reggie C. Giffin, Thomas J. Ray, John R. Loss Hearing Site: Kansas City, MO
| | $0 |
15-00297 | 07/14/2016 | Claimant(s): Leah Hancock, LH Publishing LLC Claimant Lawyers(s): Daniel Gwertzman Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Vincent D. Louwagie Arbitrator(s): I. Douglas Dunipace, Howard W. Shannon, Jay Lawrence Witkin Hearing Site: Phoenix, AZ
| | $125,300 |
15-01834 | 03/25/2016 | Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities. Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
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 |
14-03867 | 10/22/2015 | Claimant(s): Donna Bond, Mel Bond Claimant Lawyers(s): D. Daxton White Respondent(s): Berthel, Fisher & Company Financial Respondent Lawyers(s): Debra Weiss Arbitrator(s): Jack D. Olson, Alan A. Sachs, Ollie Sam Ackley Hearing Site: St. Louis, MO
| | $0 |
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 |