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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lane Johnson | 1570308 | 5 | 07/10/2012 | Customer Dispute | Closed-No Action | $20,499.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 05/12/2011 | Customer Dispute | Closed-No Action | $9,093.80 | $0.00 | See FINRA Report |
| Alan Matthew Sabo | 3274416 | 2 | 05/09/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Lane Johnson | 1570308 | 5 | 02/18/2010 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Charles Michael Haddad | 2553152 | 3 | 02/16/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Brannan | 4553880 | 2 | 10/10/2008 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Louis Lorenzo Eastman | 1634071 | 1 | 09/11/2006 | Customer Dispute | Closed-No Action | $16,466.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 03/24/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Emmett Hugh Brady | 1556273 | 3 | 12/11/2003 | Customer Dispute | Closed-No Action | $140,000.00 | $0.00 | See FINRA Report |
| Emmett Hugh Brady | 1556273 | 3 | 10/26/2001 | Customer Dispute | Closed-No Action | $36,000.00 | $0.00 | See FINRA Report |