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 |
|---|---|---|---|---|---|---|---|---|
| Tj Iwan Setro | 1428815 | 2 | 03/03/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Dennis David Rasmusson | 1424334 | 3 | 01/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel O Klein | 7468538 | 1 | 01/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Hulett Hickman | 1860694 | 2 | 12/23/2010 | Customer Dispute | Settled | $955,000.00 | $0.00 | See FINRA Report |
| Charles Thomas Cammack | 2143498 | 3 | 12/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Wayne Bagby | 1936722 | 2 | 09/02/2010 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Scott Callis Barcomb | 1369573 | 6 | 08/03/2010 | Customer Dispute | Settled | $116,657.00 | $0.00 | See FINRA Report |
| Terrence Robert Fergen | 4725641 | 2 | 06/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Callis Barcomb | 1369573 | 6 | 06/15/2010 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Terrence Robert Fergen | 4725641 | 2 | 05/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |