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 | 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 |
| Sharolette Enix Hyde | 1937223 | 1 | 02/03/2006 | Customer Dispute | Settled | $500,000.00 | $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 |
| Robert Boris Hardcastle | 1101791 | 11 | 10/25/2005 | Customer Dispute | Settled | $675,000.00 | $0.00 | See FINRA Report |
| William Russell Kaler | 1195036 | 1 | 07/13/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 03/18/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Suzanne Marie Wagner | 1852685 | 1 | 11/17/2004 | Customer Dispute | Settled | $365,109.00 | $0.00 | See FINRA Report |