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 |
|---|---|---|---|---|---|---|---|---|
| John Tayib Lund | 6504480 | 2 | 04/18/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Dale Peters | 5734019 | 1 | 03/04/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 08/01/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Thomas Cammack | 2143498 | 3 | 12/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Roland Bailey | 1845517 | 4 | 05/19/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Russell Kaler | 1195036 | 1 | 07/13/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berthel | 823289 | 3 | 09/30/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |