Search for: "Cambridge Investment Research Inc."
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15 Sep 2017, 5:57 pm
Ohio National Fund, Inc. said the "escalating fraud investigation seems to us a thesis changer. [read post]
11 Apr 2017, 3:01 pm
(Pix © Larry Catá Backer 2016) I will be teaching a course on Corporate Social Responsibility. [read post]
30 Dec 2016, 5:24 am
Conservative /Lib-Dem 1,710,000 Financial Times Nikkei Inc. [read post]
30 Nov 2016, 3:07 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Raymond Harrison (Harrison) currently associated with Cambridge Investment Research, Inc. [read post]
22 Aug 2016, 12:19 pm
According to her profile on the website of Harvard’s Kennedy School of Government, Professor Madrian’s current research is focused on “behavioral economics and household finance, with a particular focus on household savings and investment behavior. [read post]
5 Aug 2016, 12:45 pm
Wisniewski was previously employed and registered by Cambridge Investment Research, Inc. from November 2012 to May 2015, Ridgeway & Conger, Inc. from September 2011 to November 2012, and J.P. [read post]
13 May 2016, 6:02 am
Last month the Securities and Exchange Commission (SEC) instituted and simultaneously settled an administrative enforcement case in which a civil penalty of $225,000.00 was assessed against Cambridge Investment Research Advisors, Inc. [read post]
6 May 2016, 6:41 am
Inc. [read post]
10 Nov 2015, 5:45 am
FINRA’s investigation appears to stem from Savoie’s termination from Cambridge Investment Research, Inc. [read post]
2 Nov 2015, 1:51 am
Roy Greenslade, however, argued that the deal “made sense” as it would allow the publishing group to increase digital investment and present digital advertisers with a larger audience across the UK. [read post]
26 Oct 2015, 7:16 am
Finally, Wegner is currently a registered representative with Cambridge Investment Research, Inc. out of the firm’s Delafield, Wisconsin office location. [read post]
10 Jul 2015, 5:44 am
Thereafter, Blake has been registered with Cambridge Investment Research, Inc. in the firm’s Greenwood Village, Colorado office. [read post]
1 Jul 2015, 1:50 pm
Currently, Leone is registered with Cambridge Investment Research, Inc.; however, FINRA alleged that while Leone was registered with Morgan Stanley, he exercised discretion in customer accounts without written authorization to do so. [read post]
27 Mar 2015, 12:02 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Cambridge Investment Research Inc., an independent broker-dealer, is expanding a current offering by a sister company, Continuity Partners Group to provide capital for succession planning and acquisitions to its affiliated advisers.Cambridge Investment Research has seen steady growth over the past dozen years and, with $650 million in total revenues in 2014, is one of the 10 largest independent… [read post]
30 Jan 2015, 5:22 am
From 1994 to December 2012, he was registered with the following FINRA firms: (1) Capital Analysts, Inc. until to December 2007; (2) Cambridge Investment Research, Inc. from January 2008 to May 2012; and (3) Comprehensive Asset Management and Servicing, Inc. [read post]
9 Jan 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently suspended former Cambridge Investment Research, Inc. [read post]
17 Dec 2014, 8:10 am
Cambridge Investment Research, Inc. [read post]
10 Oct 2014, 11:39 am
" The course originally had a quite modest objective--to introduce law students to legal research and reasoning through case law, statutory interpretation, and legal history, processes, and institutions. [read post]
20 Sep 2014, 1:06 pm
" The course originally had a quite modest objective--to introduce law students to legal research and reasoning through case law, statutory interpretation, and legal history, processes, and institutions. [read post]
15 Sep 2014, 9:01 pm
Leigh Castergine was the first woman to become a Senior Vice President in the Front Office of the Mets, a once-beloved, but now losing Major League Baseball team in New York. [read post]
