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 |
|---|---|---|---|---|---|---|---|---|
| Brian Eric Cantel | 1743229 | 2 | 11/01/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Meyer | 5262157 | 1 | 08/11/2022 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Jason Christopher Cook | 4349388 | 3 | 05/10/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vincent Roland Bailey | 1845517 | 4 | 05/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Weinbauer | 2714070 | 4 | 05/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Niren | 1782873 | 2 | 04/29/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Tayib Lund | 6504480 | 2 | 04/18/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Pridey | 2136022 | 4 | 03/10/2022 | Customer Dispute | Settled | $136,000.00 | $0.00 | See FINRA Report |
| Scott Michael Brannan | 4553880 | 2 | 02/15/2022 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| William Thomas Stokes | 1103601 | 2 | 12/30/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |