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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Roland Bailey | 1845517 | 4 | 07/02/2024 | Customer Dispute | Pending | $180,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Weinbauer | 2714070 | 4 | 07/02/2024 | Customer Dispute | Pending | $180,000.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 04/08/2024 | Customer Dispute | Pending | $230,000.00 | $0.00 | See FINRA Report |
| Brian Eric Cantel | 1743229 | 2 | 11/01/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Valentine Malaussena | 2494951 | 2 | 10/29/2020 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |