Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Advisor Networks 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 |
---|---|---|---|---|---|---|---|---|
Ernest Anthony Cozzi | 1173200 | 5 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
Kevin Lane Ogden | 1051356 | 3 | 02/15/2024 | Customer Dispute | Denied | $58,833.00 | $0.00 | See FINRA Report |
Matthew Ryan Stucke | 4840895 | 6 | 02/02/2024 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
Matthew Ryan Stucke | 4840895 | 6 | 01/04/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
William Lief Collins | 2787822 | 4 | 01/04/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Anthony F Caruso | 2977324 | 1 | 12/21/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
Artiz Demetrius Stroud | 5362366 | 1 | 12/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Paul David Barnum | 7420159 | 4 | 12/08/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
Paul David Barnum | 7420159 | 4 | 12/08/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |