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 |
|---|---|---|---|---|---|---|---|---|
| Richard Thomas Ragold | 1808168 | 2 | 01/07/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Chang Jen Vung | 5347816 | 3 | 01/02/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 11/15/2018 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 09/20/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Lee | 1857818 | 3 | 09/12/2018 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Peter Konstantinos Billis | 2680358 | 3 | 08/30/2018 | Customer Dispute | Denied | $115,000.00 | $0.00 | See FINRA Report |
| Javier Enrique Pascual Imbert | 2789824 | 1 | 08/22/2018 | Customer Dispute | Settled | $1,550,000.00 | $0.00 | See FINRA Report |
| Samantha A Frasier | 4969953 | 1 | 08/14/2018 | Customer Dispute | Denied | $15,335.60 | $0.00 | See FINRA Report |
| Jeffrey Thomas Williams | 4260515 | 2 | 08/10/2018 | Customer Dispute | Denied | $24,545.30 | $0.00 | See FINRA Report |
| Carmen Iok Sim Iao | 2937629 | 1 | 06/24/2018 | Customer Dispute | Award / Judgment | $966.40 | $0.00 | See FINRA Report |