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 |
|---|---|---|---|---|---|---|---|---|
| Roy Paul Niggebrugge | 3089780 | 2 | 11/14/2015 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Roy E Cook | 3129380 | 1 | 09/06/2011 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| Sheldon R Bender | 1325415 | 10 | 04/27/2011 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |