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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Jon Pridey | 2136022 | 4 | 05/10/2010 | Customer Dispute | Award / Judgment | $550,000.00 | $100,000.00 | See FINRA Report |
| Jeffrey Jon Pridey | 2136022 | 4 | 04/15/2010 | Customer Dispute | Settled | $487,000.00 | $0.00 | See FINRA Report |
| Jon Harris Mesmer | 2179965 | 1 | 04/14/2010 | Customer Dispute | Settled | $296,000.00 | $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 |
| Charles Michael Haddad | 2553152 | 3 | 11/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Wayne Bagby | 1936722 | 2 | 11/16/2009 | Customer Dispute | Settled | $2,984,580.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 07/20/2009 | Customer Dispute | Settled | $8,220.00 | $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 |
| Todd Anthony Schick | 4555540 | 1 | 06/03/2008 | Customer Dispute | Settled | $8,497.10 | $0.00 | See FINRA Report |