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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Spiro Pandis | 2928410 | 4 | 08/28/2023 | Customer Dispute | Settled | $12,385.60 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 07/21/2023 | Customer Dispute | Settled | $191,426.00 | $0.00 | See FINRA Report |
| Michael Jay Moultrie | 2338702 | 1 | 06/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rory Lee Pinsky | 6654081 | 1 | 05/12/2023 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $489,898.00 | $0.00 | See FINRA Report |
| Victor James Furniss | 5957759 | 3 | 02/06/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 12/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 12/09/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Sapphira Xiaopan Wang Chow | 6308704 | 1 | 11/17/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |