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 |
|---|---|---|---|---|---|---|---|---|
| Stuart H Laake | 5198239 | 1 | 04/03/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David C Wilson | 2378267 | 1 | 01/31/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Shelley Ann Stevens | 2064641 | 2 | 01/06/2012 | Customer Dispute | Award / Judgment | $22,000.00 | $44,565.20 | See FINRA Report |
| Jacquelyn Marie Williams | 2957923 | 1 | 11/30/2011 | Judgment / Lien | $0.00 | $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 |
| Nichole Marie Kircher | 2876887 | 6 | 11/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bret Scott Kinnamon | 2822681 | 1 | 10/04/2011 | Customer Dispute | Settled | $33,234.50 | $0.00 | See FINRA Report |
| Nichole Marie Kircher | 2876887 | 6 | 07/27/2011 | Judgment / Lien | $0.00 | $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| Sheldon R Bender | 1325415 | 10 | 04/27/2011 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| Betsy Ann Abney | 2677004 | 2 | 10/07/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |