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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Robert Weinbauer | 2714070 | 4 | 07/07/2021 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Ritchie Lynn Hoffman | 4664884 | 1 | 07/06/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 04/22/2021 | Customer Dispute | Settled | $116,000.00 | $0.00 | See FINRA Report |
| Brian Eric Cantel | 1743229 | 2 | 03/05/2021 | Customer Dispute | Settled | $25,000.00 | $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 | 11/24/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Valentine Malaussena | 2494951 | 2 | 10/29/2020 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 09/04/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Bret Alexander Hartman | 4502046 | 3 | 08/10/2020 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |