According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Andrew Galy (Galy), previously associated with Cambridge Investment Research, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Galy concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alexander Kline (Kline), currently associated with Cambridge Investment Research, Inc., has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Kline concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Corrie (Corrie), previously associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Corrie recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Brandts (Brandts), currently associated with Cambridge Investment Research, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brandts recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Fortin (Fortin), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fortin recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Culver (Culver), currently associated with Cambridge Investment Research, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Culver recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Catalano (Catalano), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Catalano recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Kennedy (Kennedy), currently associated with Cambridge Investment Research, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Kennedy recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Ohlmeyer (Ohlmeyer), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ohlmeyer recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Ronald Paull (Paull), currently employed by brokerage firm Cambridge Investment Research, Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…