Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Financial Specialists LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Rachel Elinor Lauber | 3027895 | 1 | 08/10/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Michael Levine | 2887884 | 1 | 07/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Lawrence Spielman | 2503634 | 1 | 06/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Cosmo Ciocia | 1619245 | 2 | 05/19/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kenneth C Kondas | 2882129 | 1 | 05/03/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donald David Granzow | 1722394 | 1 | 12/02/2021 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jose Alberto Lopez | 5308923 | 1 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas John Casagrande | 4288486 | 1 | 11/18/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Angelei Yamsuan Liongson | 2507652 | 1 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 10/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |