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 |
|---|---|---|---|---|---|---|---|---|
| Jorge Cesar Escobedo | 4631949 | 1 | 06/22/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 06/19/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Glen Roessner | 5568932 | 2 | 06/13/2018 | Customer Dispute | Settled | $21,654.60 | $0.00 | See FINRA Report |
| Victor James Furniss | 5957759 | 3 | 05/31/2018 | Customer Dispute | Denied | $9,200.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 04/24/2018 | Customer Dispute | Settled | $309,000.00 | $0.00 | See FINRA Report |
| Adam W Wood | 5227022 | 1 | 04/04/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Glen Roessner | 5568932 | 2 | 02/14/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Michael Adrian Sharp | 6285241 | 1 | 01/03/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Betty Won Lee | 2865630 | 1 | 12/07/2017 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Lyle Maurer | 6415914 | 1 | 11/27/2017 | Customer Dispute | Denied | $39,500.00 | $0.00 | See FINRA Report |