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 |
|---|---|---|---|---|---|---|---|---|
| John Damian Park Mullin | 4544945 | 2 | 06/08/2009 | Customer Dispute | Closed-No Action | $62,314.50 | $0.00 | See FINRA Report |
| Coty John Primeaux | 4434949 | 1 | 06/04/2009 | Customer Dispute | Closed-No Action | $12,638.80 | $0.00 | See FINRA Report |
| Bruce Champion | 4485669 | 2 | 04/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Champion | 4485669 | 2 | 03/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rod I Skaf | 2822001 | 4 | 03/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremy Michael Richard | 4607382 | 1 | 03/17/2009 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Jeffrey Howard Eichel | 2224038 | 4 | 03/17/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Peter Michael Kalin | 3097799 | 4 | 02/17/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Warren Kyle Coleman | 1609502 | 1 | 02/10/2009 | Customer Dispute | Settled | $64,610.00 | $0.00 | See FINRA Report |
| Alexey Bulankov | 4061360 | 3 | 02/03/2009 | Customer Dispute | Denied | $66,000.00 | $0.00 | See FINRA Report |