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 Wayne Bagby | 1936722 | 2 | 11/16/2009 | Customer Dispute | Settled | $2,984,580.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 07/20/2009 | Customer Dispute | Settled | $8,220.00 | $0.00 | See FINRA Report |
| Todd Anthony Schick | 4555540 | 1 | 06/03/2008 | Customer Dispute | Settled | $8,497.10 | $0.00 | See FINRA Report |
| Scott Callis Barcomb | 1369573 | 6 | 03/10/2008 | Customer Dispute | Settled | $10,242.00 | $0.00 | See FINRA Report |
| Scott Callis Barcomb | 1369573 | 6 | 11/16/2006 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Tarick Luke Bernat | 2000473 | 5 | 05/02/2006 | Customer Dispute | Settled | $56,672.60 | $0.00 | See FINRA Report |
| Charles Stillman Dawson | 717848 | 3 | 02/03/2006 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 11/04/2005 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Dudley Marvin Irwin | 1622162 | 2 | 10/28/2005 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 10/25/2005 | Customer Dispute | Settled | $675,000.00 | $0.00 | See FINRA Report |