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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Thomas Roth | 2593892 | 1 | 07/15/2013 | Customer Dispute | Denied | $31,589.60 | $0.00 | See FINRA Report |
| Sandra Lee Seiple | 2619185 | 1 | 07/12/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan Rafael Rodriguez | 4208247 | 2 | 07/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Haddad | 2553152 | 4 | 06/12/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Paul Benning | 4205469 | 3 | 05/20/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 03/18/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heinz Erhard Ickert | 2979183 | 2 | 02/11/2013 | Customer Dispute | Settled | $51,012.20 | $0.00 | See FINRA Report |
| Robert Boris Hardcastle | 1101791 | 11 | 01/07/2013 | Customer Dispute | Denied | $135,000.00 | $0.00 | See FINRA Report |
| Alan Matthew Sabo | 3274416 | 2 | 12/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Stillman Dawson | 717848 | 3 | 10/29/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |