Our Staff has compiled our research into a database of FINRA Broker Disclosures for Berthel, Fisher & Company Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Vincent Roland Bailey | 1845517 | 4 | 07/02/2024 | Customer Dispute | Pending | $180,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Weinbauer | 2714070 | 4 | 07/02/2024 | Customer Dispute | Pending | $180,000.00 | $0.00 | See FINRA Report |
| Kevin Craig Koslofski | 3033810 | 1 | 07/02/2024 | Customer Dispute | Withdrawn | $180,000.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 04/08/2024 | Customer Dispute | Pending | $230,000.00 | $0.00 | See FINRA Report |
| Craig M Fredrickson | 1202302 | 1 | 02/13/2024 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 12/18/2023 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Jason Christopher Cook | 4349388 | 3 | 05/09/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shawn Kristian Schuyler | 3124549 | 1 | 02/17/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 01/05/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| William Thomas Stokes | 1103601 | 2 | 11/30/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |