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 |
|---|---|---|---|---|---|---|---|---|
| Suzanne Marie Wagner | 1852685 | 1 | 11/17/2004 | Customer Dispute | Settled | $365,109.00 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 11/17/2004 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berthel | 823289 | 3 | 11/17/2004 | Customer Dispute | Settled | $365,109.00 | $0.00 | See FINRA Report |
| Michael Howard Samuels | 1041618 | 1 | 02/24/2003 | Customer Dispute | Settled | $663,000.00 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 12/23/2002 | Customer Dispute | Settled | $48,152.60 | $0.00 | See FINRA Report |
| Gregory Joseph Schulte | 2013712 | 3 | 08/12/2002 | Customer Dispute | Settled | $417,000.00 | $0.00 | See FINRA Report |
| Richard Francis Juba | 262518 | 3 | 04/26/2002 | Customer Dispute | Settled | $125,374.00 | $0.00 | See FINRA Report |
| Richard Francis Juba | 262518 | 3 | 02/27/2002 | Customer Dispute | Settled | $10,717.00 | $0.00 | See FINRA Report |
| Gregory Joseph Schulte | 2013712 | 3 | 10/31/2001 | Customer Dispute | Settled | $11,462.30 | $0.00 | See FINRA Report |
| Sean Joseph McGhee | 1511563 | 1 | 08/29/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |