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 |
|---|---|---|---|---|---|---|---|---|
| Scott Michael Brannan | 4553880 | 2 | 10/10/2008 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Brian L Penney | 3051604 | 2 | 07/28/2008 | Customer Dispute | Denied | $19,204.00 | $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 |
| Tarick Luke Bernat | 2000473 | 5 | 07/20/2007 | Customer Dispute | Denied | $8,371.92 | $0.00 | See FINRA Report |
| 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 | 2 | 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 |