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 |
|---|---|---|---|---|---|---|---|---|
| Ann A Merkley | 2392959 | 2 | 09/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ann A Merkley | 2392959 | 2 | 06/23/2010 | Customer Dispute | Denied | $218,180.00 | $0.00 | See FINRA Report |
| Michael Lewandoski | 2870828 | 2 | 03/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Frank Valz | 4324627 | 1 | 02/27/2009 | Customer Dispute | Denied | $108,000.00 | $0.00 | See FINRA Report |
| Keith Allen Deimling | 3021184 | 1 | 10/12/2008 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Clint Robert Verhagen | 4186717 | 1 | 08/18/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Tyler Wilson | 2414383 | 4 | 12/24/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carmine J Lacognata | 1889505 | 3 | 04/19/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Denise Marcia Knight | 2734133 | 1 | 03/28/2007 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Pamela Lavon Treadwell | 1688119 | 1 | 12/16/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |