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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell S Solomon | 2801719 | 1 | 10/24/2006 | Customer Dispute | Settled | $4,306.00 | $0.00 | See FINRA Report |
| Cesare Franzese | 2907250 | 1 | 07/07/2006 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Harvey Rodriguez Lopez | 2720593 | 2 | 06/20/2006 | Customer Dispute | Settled | $8,148.00 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 05/04/2006 | Customer Dispute | Settled | $193,050.00 | $0.00 | See FINRA Report |
| Nancy Jean Almond | 2142868 | 2 | 04/05/2006 | Customer Dispute | Denied | $7,650.00 | $0.00 | See FINRA Report |
| Harvey Rodriguez Lopez | 2720593 | 2 | 02/16/2006 | Customer Dispute | Settled | $11,416.30 | $0.00 | See FINRA Report |
| James A McMahon | 2494353 | 2 | 11/10/2005 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Craig Herbert | 1968586 | 4 | 08/16/2005 | Customer Dispute | Denied | $24,363.00 | $0.00 | See FINRA Report |
| Dee Denton Darrington | 2831009 | 2 | 07/08/2005 | Customer Dispute | Settled | $13,130.00 | $0.00 | See FINRA Report |
| Darren Mark Howcroft | 3052682 | 3 | 04/19/2005 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |