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 |
| Jonathan Todd Pyne | 2580510 | 8 | 01/28/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 07/31/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Weinbauer | 2714070 | 4 | 04/20/2018 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 12/08/2017 | Customer Dispute | Settled | $19,250.00 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 11/01/2017 | Customer Dispute | Settled | $0.00 | $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 |
| Lucius Williamson | 705509 | 1 | 05/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Hulett Hickman | 1860694 | 2 | 11/21/2016 | Customer Dispute | Settled | $141,730.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 09/09/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |