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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Scott Callis Barcomb | 1369573 | 6 | 10/31/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 06/03/1999 | Customer Dispute | Settled | $3,039.00 | $0.00 | See FINRA Report |
| Gregory Joseph Schulte | 2013712 | 3 | 04/06/1999 | Customer Dispute | Award / Judgment | $7,040.00 | $1,762.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 10/30/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dudley Marvin Irwin | 1622162 | 2 | 10/15/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Thomas Cammack | 2143498 | 3 | 06/30/1997 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Charles Thomas Cammack | 2143498 | 3 | 03/03/1997 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Phillip Stephen Dedinsky | 860773 | 1 | 10/30/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |