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 |
|---|---|---|---|---|---|---|---|---|
| Alton Brett Melancon | 4332927 | 3 | 03/12/2010 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Keith Paul Leblanc | 2544732 | 1 | 02/12/2010 | Customer Dispute | Denied | $6,530.44 | $0.00 | See FINRA Report |
| Crystal Gail Demarco | 4018499 | 6 | 01/19/2010 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| David Lee | 1857818 | 3 | 11/24/2009 | Customer Dispute | Settled | $27,631.20 | $0.00 | See FINRA Report |
| Chad Anthony Pugh | 4519789 | 2 | 11/19/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Eric William Moen | 2865807 | 1 | 10/15/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William George Kanaga | 2473296 | 1 | 09/21/2009 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Rod I Skaf | 2822001 | 4 | 08/26/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David John Kimura | 3159954 | 1 | 06/26/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Craig Herbert | 1968586 | 4 | 06/12/2009 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |