Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Investment Services 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 |
|---|---|---|---|---|---|---|---|---|
| Lonnie Jacob Woodall | 5499376 | 1 | 07/19/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mei Xia Guo | 4201624 | 2 | 07/15/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Tsz Kwan Lau | 6295070 | 1 | 07/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nathan Marc Cedarleaf | 4341451 | 4 | 07/13/2022 | Customer Dispute | Award / Judgment | $4,000,000.00 | $0.00 | See FINRA Report |
| Sheeza Rashid | 6560034 | 1 | 06/15/2022 | Customer Dispute | Denied | $14,395.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 06/14/2022 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Joshua Aaron Green | 4970616 | 3 | 06/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Eugene Anderson | 5211270 | 1 | 06/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Farol Caringal | 6413276 | 1 | 06/01/2022 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Weina Hou | 5901613 | 1 | 05/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |