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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Berthel | 823289 | 3 | 07/08/2000 | Customer Dispute | Settled | $132,600.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 06/03/1999 | Customer Dispute | Settled | $3,039.00 | $0.00 | See FINRA Report |
| Dudley Marvin Irwin | 1622162 | 2 | 10/15/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Thomas Cammack | 2143498 | 3 | 06/30/1997 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Charles Thomas Cammack | 2143498 | 3 | 03/03/1997 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| John William Cameron | 1253957 | 1 | 08/10/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Stillman Dawson | 717848 | 3 | 12/29/1994 | Customer Dispute | Settled | $1,175.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 09/13/1993 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 06/10/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 01/25/1993 | Customer Dispute | Settled | $245,000.00 | $0.00 | See FINRA Report |