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 |
|---|---|---|---|---|---|---|---|---|
| Gihan Anil Fernando | 4469669 | 62 | 11/13/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 11/10/2023 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 11/09/2023 | Customer Dispute | Settled | $105,439.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 10/27/2023 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 10/24/2023 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Fei Yi Wang | 5899211 | 2 | 09/26/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Andrew Zachary Lofton | 6723209 | 1 | 09/13/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| John Neeman Coury | 6260315 | 1 | 09/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Edward Hutchingson | 2131647 | 2 | 09/06/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 08/28/2023 | Customer Dispute | Settled | $12,385.60 | $0.00 | See FINRA Report |