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 |
|---|---|---|---|---|---|---|---|---|
| Steven Michael Niren | 1782873 | 2 | 04/29/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 12/31/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 12/29/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 05/26/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 12/31/2019 | Customer Dispute | Closed-No Action | $69,873.70 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 07/23/2019 | Customer Dispute | Closed-No Action | $38,651.90 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 07/06/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Paul Benning | 4205469 | 3 | 07/07/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Paul Benning | 4205469 | 3 | 05/20/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Stillman Dawson | 717848 | 3 | 10/29/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |