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 |
|---|---|---|---|---|---|---|---|---|
| Heinz Erhard Ickert | 2979183 | 2 | 07/29/2016 | Customer Dispute | Settled | $1,160,000.00 | $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 |
| Misty Lynn Childs | 2225214 | 1 | 03/29/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Haddad | 2553152 | 3 | 10/09/2015 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 05/11/2015 | Customer Dispute | Denied | $366,000.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 03/27/2015 | Customer Dispute | Denied | $52,577.00 | $0.00 | See FINRA Report |
| Tarick Luke Bernat | 2000473 | 5 | 03/06/2015 | Customer Dispute | Denied | $11,160.10 | $0.00 | See FINRA Report |
| Tarick Luke Bernat | 2000473 | 5 | 03/06/2015 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 06/16/2014 | Customer Dispute | Denied | $12,768.10 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 06/12/2014 | Customer Dispute | Denied | $48,208.20 | $0.00 | See FINRA Report |