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FINRA Broker Disclosures for Cetera Investment Services LLC

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.

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Displaying 51-60 out of 144 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
David Lee1857818307/23/2017Customer DisputeDenied$7,500.00$0.00See FINRA Report
Omar Maslic4413924106/21/2017Customer DisputeDenied$5,129.43$0.00See FINRA Report
Robin Vail Platt2584058206/12/2017Customer DisputeDenied$50,000.00$0.00See FINRA Report
Mark Anthony Nemmers4296170101/20/2017Customer DisputeDenied$5,000.00$0.00See FINRA Report
David Gulyamov5049773401/13/2017Customer DisputeDenied$0.00$0.00See FINRA Report
David Gulyamov5049773412/08/2016Customer DisputeDenied$0.00$0.00See FINRA Report
Nhien Yen Levitt5039336112/07/2016Customer DisputeDenied$36,296.40$0.00See FINRA Report
Rebecca Leigh Fisher4523868109/27/2016Customer DisputeDenied$12,000.00$0.00See FINRA Report
Thomas H Kim2108627309/27/2016Customer DisputeDenied$27,179.00$0.00See FINRA Report
Linda Liu4155741308/04/2016Customer DisputeDenied$5,460.00$0.00See FINRA Report

144 Results

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