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 |
|---|---|---|---|---|---|---|---|---|
| Tarick Luke Bernat | 2000473 | 5 | 07/20/2007 | Customer Dispute | Denied | $8,371.92 | $0.00 | See FINRA Report |
| Tarick Luke Bernat | 2000473 | 5 | 06/18/2007 | Customer Dispute | Denied | $6,352.40 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 05/25/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Juan Rafael Rodriguez | 4208247 | 1 | 05/16/2007 | Customer Dispute | Denied | $8,661.31 | $0.00 | See FINRA Report |
| James Valentine Malaussena | 2494951 | 2 | 05/04/2004 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Tj Iwan Setro | 1428815 | 2 | 04/04/2003 | Customer Dispute | Denied | $87,000.00 | $0.00 | See FINRA Report |
| Paul Gerard Hardin | 1856073 | 1 | 06/22/2000 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Steven Chiachan Lee | 2307532 | 1 | 03/07/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |