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 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 |
| Arthur Thomas Roth | 2593892 | 1 | 07/15/2013 | Customer Dispute | Denied | $31,589.60 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 01/07/2013 | Customer Dispute | Denied | $135,000.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 07/26/2012 | Customer Dispute | Denied | $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 |