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 |
|---|---|---|---|---|---|---|---|---|
| Genevieve Garcia Mar | 2744037 | 10 | 05/01/2019 | Customer Dispute | Award / Judgment | $1,500,000.00 | $477,000.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 06/16/2011 | Customer Dispute | Award / Judgment | $125,000.00 | $125,000.00 | See FINRA Report |
| Jeffrey Jon Pridey | 2136022 | 4 | 05/10/2010 | Customer Dispute | Award / Judgment | $550,000.00 | $100,000.00 | See FINRA Report |
| Frank Charles Scarito | 1827344 | 2 | 08/26/2003 | Customer Dispute | Award / Judgment | $300,000.00 | $80,575.00 | See FINRA Report |
| Gregory Joseph Schulte | 2013712 | 3 | 04/06/1999 | Customer Dispute | Award / Judgment | $7,040.00 | $1,762.00 | See FINRA Report |
| Richard Francis Juba | 262518 | 3 | 10/18/1975 | Customer Dispute | Award / Judgment | $14,504.20 | $1,600.00 | See FINRA Report |