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 |
|---|---|---|---|---|---|---|---|---|
| William Thomas Stokes | 1103601 | 2 | 12/30/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jason Christopher Cook | 4349388 | 2 | 12/30/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Eric John Batey | 3013255 | 1 | 12/28/2021 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Weinbauer | 2714070 | 3 | 07/07/2021 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Ritchie Lynn Hoffman | 4664884 | 1 | 07/06/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 04/22/2021 | Customer Dispute | Settled | $116,000.00 | $0.00 | See FINRA Report |
| Brian Eric Cantel | 1743229 | 2 | 03/05/2021 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Taylor Jerome Ripka | 5663828 | 1 | 02/19/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 12/31/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 9 | 12/29/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |