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 Douglas Reinhart | 2895883 | 3 | 11/07/2013 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| James Douglas Reinhart | 2895883 | 3 | 11/07/2013 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| James Douglas Reinhart | 2895883 | 3 | 10/31/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jaclyn Rae Evavold | 1537320 | 1 | 10/18/2013 | Customer Dispute | Denied | $9,300.00 | $0.00 | See FINRA Report |
| Donald Lee McDonald | 2475170 | 1 | 09/09/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Barbara Ann Koontz | 1487389 | 3 | 07/30/2013 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Pamela Joelle Soult | 4510465 | 1 | 06/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven James Mayo | 2899829 | 2 | 08/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sheldon R Bender | 1325415 | 10 | 07/10/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sheldon R Bender | 1325415 | 10 | 05/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |