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 |
|---|---|---|---|---|---|---|---|---|
| Genevieve Garcia Mar | 2744037 | 10 | 12/31/2019 | Customer Dispute | Closed-No Action | $69,873.70 | $0.00 | See FINRA Report |
| James Augustus Bowers | 5289266 | 1 | 07/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Charles Sines | 2190586 | 6 | 07/23/2019 | Customer Dispute | Closed-No Action | $38,651.90 | $0.00 | See FINRA Report |
| Vincent Roland Bailey | 1845517 | 4 | 07/01/2019 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 05/01/2019 | Customer Dispute | Award / Judgment | $1,500,000.00 | $477,000.00 | See FINRA Report |
| James Dale Peters | 5734019 | 1 | 03/04/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 01/28/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 08/01/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Genevieve Garcia Mar | 2744037 | 10 | 07/31/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Weinbauer | 2714070 | 4 | 04/20/2018 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |