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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Goldberg | 822091 | 1 | 02/20/2020 | Customer Dispute | Pending | $218,476.00 | $0.00 | See FINRA Report |
| Richard Barry Canter | 2644093 | 2 | 11/15/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Richard Barry Canter | 2644093 | 2 | 10/11/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 02/08/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Adam Senra Palas | 3060115 | 1 | 10/01/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samantha A Frasier | 4969953 | 1 | 08/14/2018 | Customer Dispute | Denied | $15,335.60 | $0.00 | See FINRA Report |
| Thomas John Hurt | 1549743 | 1 | 07/23/2018 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 05/18/2018 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| Robert Edward Waite | 4403425 | 1 | 03/12/2018 | Customer Dispute | Denied | $7,486.15 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 01/22/2018 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |