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 | 03/05/2024 | Customer Dispute | Settled | $302,000.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/28/2024 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/27/2024 | Customer Dispute | Settled | $97,854.50 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/26/2024 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/26/2024 | Customer Dispute | Settled | $63,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/26/2024 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/26/2024 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/16/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 02/14/2024 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |