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 |
|---|---|---|---|---|---|---|---|---|
| John William Cameron | 1253957 | 1 | 08/10/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Stillman Dawson | 717848 | 3 | 12/29/1994 | Customer Dispute | Settled | $1,175.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berthel | 823289 | 3 | 09/30/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 09/13/1993 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 06/10/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 01/25/1993 | Customer Dispute | Settled | $245,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 12/02/1992 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Schiller | 1017892 | 5 | 07/06/1991 | Customer Dispute | Settled | $289,500.00 | $0.00 | See FINRA Report |
| Robert Lane Johnson | 1570308 | 5 | 09/28/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Michael Niren | 1782873 | 2 | 07/27/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |