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 |
|---|---|---|---|---|---|---|---|---|
| Dee Denton Darrington | 2831009 | 2 | 02/21/2002 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 01/30/2002 | Customer Dispute | Settled | $1,624.00 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 01/30/2002 | Customer Dispute | Settled | $2,228.78 | $0.00 | See FINRA Report |
| Charles Alexander Maushardt | 2907404 | 1 | 01/04/2002 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 01/02/2002 | Customer Dispute | Closed-No Action | $36,776.00 | $0.00 | See FINRA Report |
| Daniel Stevenson Shirley | 723576 | 3 | 11/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael John Panarello | 1906491 | 2 | 08/06/2001 | Customer Dispute | Settled | $108,014.00 | $0.00 | See FINRA Report |
| Cristina Piccininni | 1940975 | 1 | 07/16/2001 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Richard Thomas Ragold | 1808168 | 2 | 03/08/2001 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Michael Joseph St. Pierre | 1760408 | 3 | 09/12/2000 | Customer Dispute | Settled | $9,100.00 | $0.00 | See FINRA Report |