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 |
|---|---|---|---|---|---|---|---|---|
| William Charles Sines | 2190586 | 6 | 11/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lucius Williamson | 705509 | 1 | 05/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Hulett Hickman | 1860694 | 2 | 11/21/2016 | Customer Dispute | Settled | $141,730.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 09/09/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Heinz Erhard Ickert | 2979183 | 2 | 07/29/2016 | Customer Dispute | Settled | $1,160,000.00 | $0.00 | See FINRA Report |
| Misty Lynn Childs | 2225214 | 1 | 03/29/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Haddad | 2553152 | 3 | 10/09/2015 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 04/07/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Frank Charles Scarito | 1827344 | 2 | 12/19/2013 | Customer Dispute | Settled | $389,000.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 09/11/2013 | Customer Dispute | Settled | $499,958.00 | $0.00 | See FINRA Report |