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 |
|---|---|---|---|---|---|---|---|---|
| Tarick Luke Bernat | 2000473 | 5 | 06/18/2007 | Customer Dispute | Denied | $6,352.40 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 05/25/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Juan Rafael Rodriguez | 4208247 | 1 | 05/16/2007 | Customer Dispute | Denied | $8,661.31 | $0.00 | See FINRA Report |
| Scott Callis Barcomb | 1369573 | 6 | 11/16/2006 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Louis Lorenzo Eastman | 1634071 | 1 | 09/11/2006 | Customer Dispute | Closed-No Action | $16,466.00 | $0.00 | See FINRA Report |
| Tarick Luke Bernat | 2000473 | 5 | 05/02/2006 | Customer Dispute | Settled | $56,672.60 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 03/24/2006 | Customer Dispute | Closed-No Action | $0.00 | $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 |