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 |
|---|---|---|---|---|---|---|---|---|
| James Valentine Malaussena | 2494951 | 2 | 10/29/2020 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 09/04/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Bret Alexander Hartman | 4502046 | 3 | 08/10/2020 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 07/24/2020 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 07/16/2020 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Ryan Paul Benning | 4205469 | 3 | 07/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Callis Barcomb | 1369573 | 6 | 07/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bret Alexander Hartman | 4502046 | 3 | 06/22/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 05/26/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bret Alexander Hartman | 4502046 | 3 | 05/21/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |