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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Robert Boris Hardcastle | 1101791 | 11 | 11/17/2004 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berthel | 823289 | 3 | 11/17/2004 | Customer Dispute | Settled | $365,109.00 | $0.00 | See FINRA Report |
| James Valentine Malaussena | 2494951 | 2 | 05/04/2004 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Emmett Hugh Brady | 1556273 | 3 | 12/11/2003 | Customer Dispute | Closed-No Action | $140,000.00 | $0.00 | See FINRA Report |
| Frank Charles Scarito | 1827344 | 2 | 08/26/2003 | Customer Dispute | Award / Judgment | $300,000.00 | $80,575.00 | See FINRA Report |
| Tj Iwan Setro | 1428815 | 2 | 04/04/2003 | Customer Dispute | Denied | $87,000.00 | $0.00 | See FINRA Report |