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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Howard Eichel | 2224038 | 4 | 02/04/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas J Kornett | 2827381 | 1 | 12/11/2007 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Peter Michael Kalin | 3097799 | 4 | 06/28/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sheila Elaine Carmen | 2869452 | 4 | 02/05/2007 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| Robert Patrick Carroll | 1470313 | 1 | 01/11/2007 | Customer Dispute | Denied | $10,500.00 | $0.00 | See FINRA Report |
| Peter Yan Hong | 2519672 | 1 | 11/28/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cesare Franzese | 2907250 | 1 | 07/07/2006 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Nancy Jean Almond | 2142868 | 2 | 04/05/2006 | Customer Dispute | Denied | $7,650.00 | $0.00 | See FINRA Report |
| Craig Herbert | 1968586 | 4 | 08/16/2005 | Customer Dispute | Denied | $24,363.00 | $0.00 | See FINRA Report |
| Sherwin Anthony Wray | 4571148 | 3 | 04/08/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |