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 |
|---|---|---|---|---|---|---|---|---|
| James Cosmo Ciocia | 1619245 | 2 | 05/19/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James Cosmo Ciocia | 1619245 | 2 | 09/23/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| 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 |
| Eric Todd Stuckey | 2445666 | 10 | 05/18/2018 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 01/22/2018 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Antos | 1857829 | 1 | 10/13/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 06/09/2016 | Customer Dispute | Settled | $42,835.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |