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 |
|---|---|---|---|---|---|---|---|---|
| Sherwin Anthony Wray | 4571148 | 3 | 04/08/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Christopher Roche | 4191114 | 1 | 03/21/2005 | Customer Dispute | Settled | $52,256.70 | $0.00 | See FINRA Report |
| Thomas H Kim | 2108627 | 3 | 03/21/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Howard Probeyahn | 4495749 | 1 | 03/07/2005 | Customer Dispute | Withdrawn | $5,262.66 | $0.00 | See FINRA Report |
| Rodney Alford Little | 1260096 | 1 | 03/02/2005 | Customer Dispute | Denied | $93,180.00 | $0.00 | See FINRA Report |
| Walter Schacht | 2842964 | 1 | 01/27/2005 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ira Leslie Aguado | 1706754 | 4 | 01/14/2005 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Michael John Panarello | 1906491 | 2 | 01/13/2005 | Customer Dispute | Settled | $198,042.00 | $0.00 | See FINRA Report |
| Steve Ching Huang Chen | 4083684 | 2 | 11/15/2004 | Customer Dispute | Settled | $26,874.60 | $0.00 | See FINRA Report |
| James A McMahon | 2494353 | 2 | 09/16/2004 | Customer Dispute | Award / Judgment | $500,000.00 | $419,000.00 | See FINRA Report |