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 |
|---|---|---|---|---|---|---|---|---|
| Albert Roy Leger | 2362902 | 1 | 06/09/2015 | Customer Dispute | Settled | $23,406.70 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 10/10/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Scott Allen van de Ven | 5874088 | 1 | 07/25/2014 | Customer Dispute | Settled | $64,745.00 | $0.00 | See FINRA Report |
| David C Wilson | 2378267 | 1 | 01/31/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Don Wayne Barnes | 1850777 | 1 | 11/10/2011 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Bret Scott Kinnamon | 2822681 | 1 | 10/04/2011 | Customer Dispute | Settled | $33,234.50 | $0.00 | See FINRA Report |
| Paul Michael Weinberger | 2757427 | 5 | 07/06/2010 | Customer Dispute | Settled | $12,520.30 | $0.00 | See FINRA Report |
| Paul Michael Weinberger | 2757427 | 5 | 02/12/2010 | Customer Dispute | Settled | $9,825.00 | $0.00 | See FINRA Report |
| Carmine J Lacognata | 1889505 | 3 | 03/27/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leonard Daniel Gilroy-Solano | 4792612 | 1 | 12/12/2005 | Customer Dispute | Settled | $9,031.45 | $0.00 | See FINRA Report |