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 |
|---|---|---|---|---|---|---|---|---|
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 08/04/2015 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Sheldon R Bender | 1325415 | 10 | 07/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sheldon R Bender | 1325415 | 10 | 07/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Albert Roy Leger | 2362902 | 1 | 06/09/2015 | Customer Dispute | Settled | $23,406.70 | $0.00 | See FINRA Report |
| Carl King | 6555444 | 1 | 06/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheldon R Bender | 1325415 | 10 | 05/11/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Suzanne Kent | 1105799 | 2 | 05/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd J Mulholland | 5468115 | 3 | 01/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Betsy Ann Abney | 2677004 | 2 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |