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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| Robert Lane Johnson | 1570308 | 5 | 01/10/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Francis Juba | 262518 | 3 | 10/18/1975 | Customer Dispute | Award / Judgment | $14,504.20 | $1,600.00 | See FINRA Report |