Search for: "Cambridge Investment Research Inc."
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30 Mar 2021, 11:02 am
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Cambridge Investment Research, Inc. [read post]
3 Mar 2022, 9:33 am
For more information, please see:Cetera, Cambridge Investment & KMS Financial Censured, Fined for Cybersecurity… Cambridge Investment Research Sanctioned for Sales of LJM Fund Cambridge Investment Research Inc. [read post]
William Michero, Formerly with Cambridge Investment Research, Inc., BARRED by FINRA – Fort Worth, TX
23 Sep 2021, 4:07 pm
FINRA has barred former Cambridge Investment Research, Inc. broker William Michero from the securities industry. [read post]
15 Mar 2021, 12:27 pm
Cambridge Investment Research, Inc. [read post]
5 Feb 2021, 11:33 am
Cambridge Investment Research fired Mr. [read post]
9 Nov 2021, 6:40 am
Continue reading The post Former Cambridge Investment Research, Inc. and SagePoint Financial, Inc. [read post]
2 Apr 2021, 9:22 am
FINRA has suspended former Cambridge Investment Research, Inc. broker Keith Holcomb from the securities industry for 6 months for borrowing money from a customer without notifying or receiving approval from his firm. [read post]
30 Mar 2021, 11:39 am
FINRA Censures and Fines Cambridge Investment Research for Supervisory Issues The White Law Group is investigating potential securities claims involving Cambridge Investment Research, Inc. [read post]
17 Mar 2021, 9:51 am
” Cambridge Investment Research Inc. [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]
30 Mar 2018, 3:22 pm
Savoie of Mandeville, LA, was formerly associated with Cambridge Investment Research Advisors, Inc. [read post]
13 Nov 2018, 9:32 am
Cambridge is also a national corporation with a registered investment advisor as well as an industry leading independent broker-dealer.Cambridge’s national reach includes: Cambridge Investment Research Advisors, Inc. -- a large corporate RIA; and Cambridge Investment Research, Inc. -- an independent broker-dealer, member FINRA/SIPC, that is among the largest privately-controlled independent… [read post]
11 Sep 2021, 10:23 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Financial Advisor Eladio Santiago (Santiago), currently employed by Cambridge Investment Research, Inc. [read post]
20 Feb 2014, 5:48 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Cambridge Investment Research, Inc. concerning allegations that from January 2009, to July 2010, Cambridge failed to ensure that the firm preserved, maintained, and reviewed the business emails of two of its registered representatives. [read post]
23 Nov 2020, 9:18 am
If you suffered investment losses with Lynn Cawthorne and Cambridge Investment Research, Inc., please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation. [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]
29 May 2020, 11:28 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Eladio Santiago (Santiago), currently employed by Cambridge Investment Research, Inc. [read post]
2 Mar 2018, 1:54 pm
Pleasant, South Carolina and with Cambridge Investment Research, Inc. in Mt. [read post]
23 Apr 2019, 2:13 pm
Advisor Alan Dole (Dole), currently employed by Cambridge Investment Research, Inc. [read post]
9 Jan 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently suspended former Cambridge Investment Research, Inc. [read post]
