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 |
|---|---|---|---|---|---|---|---|---|
| Richard Francis Juba | 262518 | 3 | 04/26/2002 | Customer Dispute | Settled | $125,374.00 | $0.00 | See FINRA Report |
| Richard Francis Juba | 262518 | 3 | 02/27/2002 | Customer Dispute | Settled | $10,717.00 | $0.00 | See FINRA Report |
| Gregory Joseph Schulte | 2013712 | 3 | 10/31/2001 | Customer Dispute | Settled | $11,462.30 | $0.00 | See FINRA Report |
| Emmett Hugh Brady | 1556273 | 3 | 10/26/2001 | Customer Dispute | Closed-No Action | $36,000.00 | $0.00 | See FINRA Report |
| Emmett Hugh Brady | 1556273 | 3 | 10/26/2001 | Customer Dispute | Closed-No Action | $41,960.00 | $0.00 | See FINRA Report |
| Charles Richard Stevens | 1054000 | 1 | 05/12/2001 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Sean Joseph McGhee | 1511563 | 1 | 08/29/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berthel | 823289 | 3 | 07/08/2000 | Customer Dispute | Settled | $132,600.00 | $0.00 | See FINRA Report |
| Paul Gerard Hardin | 1856073 | 1 | 06/22/2000 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Steven Chiachan Lee | 2307532 | 1 | 03/07/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |