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 |
|---|---|---|---|---|---|---|---|---|
| Michael Lewandoski | 2870828 | 2 | 10/05/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kimberlee A Conte | 5443221 | 1 | 07/17/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Francis Judge | 1638293 | 1 | 05/16/2003 | Customer Dispute | Settled | $409,077.00 | $0.00 | See FINRA Report |
| Katherine Jeanette Cathcart | 2343349 | 1 | 04/22/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Kandice Michelle Gupta | 2414037 | 2 | 01/22/2003 | Customer Dispute | Settled | $38,369.00 | $0.00 | See FINRA Report |
| Anne Summers | 2591409 | 1 | 12/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kandice Michelle Gupta | 2414037 | 2 | 11/17/2002 | Customer Dispute | Settled | $25,584.20 | $0.00 | See FINRA Report |
| Paul Joseph Smith | 2175854 | 1 | 11/13/2002 | Customer Dispute | Settled | $8,970.78 | $0.00 | See FINRA Report |
| Jason Tyler Wilson | 2414383 | 4 | 08/06/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Jason Tyler Wilson | 2414383 | 4 | 05/13/2002 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |