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 |
|---|---|---|---|---|---|---|---|---|
| Doris C Lau | 5750600 | 1 | 02/17/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Linda Liu | 4155741 | 3 | 12/03/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 11/24/2021 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| Kevin Meredith McCoy | 4557189 | 5 | 10/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Xiao Qin Komischke | 5076489 | 2 | 09/23/2021 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 08/25/2021 | Customer Dispute | Settled | $60,399.00 | $0.00 | See FINRA Report |
| Mei Xia Guo | 4201624 | 2 | 08/10/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Nicholas C McMahan | 5578896 | 4 | 08/09/2021 | Customer Dispute | Settled | $18,588.00 | $0.00 | See FINRA Report |
| Michael Simon | 2369509 | 1 | 07/09/2021 | Customer Dispute | Settled | $10,127.80 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 05/21/2021 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |