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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lane Johnson | 1570308 | 5 | 07/10/2012 | Customer Dispute | Closed-No Action | $20,499.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Pridey | 2136022 | 4 | 04/27/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Robert Utterback | 4793105 | 1 | 11/07/2011 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Deborah Anne Hanson | 4649028 | 1 | 10/05/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Genevieve Garcia Mar | 2744037 | 10 | 06/16/2011 | Customer Dispute | Award / Judgment | $125,000.00 | $125,000.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 05/12/2011 | Customer Dispute | Closed-No Action | $9,093.80 | $0.00 | See FINRA Report |
| Alan Matthew Sabo | 3274416 | 2 | 05/09/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lois E Gough Lopez | 3090515 | 2 | 03/24/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tj Iwan Setro | 1428815 | 2 | 03/03/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Richard Hulett Hickman | 1860694 | 2 | 12/23/2010 | Customer Dispute | Settled | $955,000.00 | $0.00 | See FINRA Report |