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 |
|---|---|---|---|---|---|---|---|---|
| Paul Michael Weinberger | 2757427 | 6 | 04/02/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 01/05/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $489,898.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 12/07/2022 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Rachel Elinor Lauber | 3027895 | 1 | 08/10/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Cosmo Ciocia | 1619245 | 2 | 05/19/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Nicholas John Casagrande | 4288486 | 1 | 11/18/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Cosmo Ciocia | 1619245 | 2 | 09/23/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Sheldon R Bender | 1325415 | 10 | 11/24/2020 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |