Articles Tagged with Cabot Lodge Securities LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Lund (Lund), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lund recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,001.00 on February 28, 2023.

Claimants allege violations of federal and state securities laws, fraud, unsuitable recommendations, misrepresentations and omissions of material fact, breach of contract, breach of fiduciary duty, and negligence with regards to the purchases of GWG L-Bonds in 2018 and 2019 respectively.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Shirah (Shirah), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shirah recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $49,000.00 on May 26, 2023.

Per U5 submission, “Client alleges registered representative recommended unsuitable investment.”

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tweed (Tweed), previously associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tweed recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $49,999.00 on April 30, 2025.

Claimant alleges recommendation of an unsuitable investment, and failure to disclose risks associated with the purchase of GWG L-bonds on or about July 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Burmann (Burmann), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burmann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $65,000.00 on December 05, 2023.

Claimant alleges breach of fiduciary duty, negligence, breach of contract, violation of FINRA Rules 2010, 2020, 2111, 3110(a) regarding investment recommendations made during 2019-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Green (Green), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Green recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $410,000.00 on March 21, 2024.

Claimant alleges Violations of the Pennsylvania Unfair Trade Practices and Consumer Protection Law, Violations of the Pennsylvania Securities Act, Common Law Fraud, Breach of Fiduciary Duties, Violations of FINRA Rules 2010, 2011, and 2360, Breach of Implied Contractual Duties, Professional Negligence, Failure to Supervise, and Respondeat Superior and Vicarious Liabilities due to the alleged “mishandling” of his account from Feb 2019 through Dec 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Doiron (Doiron), currently associated with Cabot Lodge Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Doiron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on June 26, 2024.

Claimants allege breach of fiduciary duty, violation of various FINRA Rules, material misrepresentation and material omission of Information, various violations of state securities laws, common law fraud, and common law negligence, failure to supervise, breach of contract with regards to the purchase of GWG L-bonds during February 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chadwick Bridgers (Bridgers), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bridgers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on July 08, 2024.

Claimant alleges breaches of fiduciary duty, negligence, duty to supervise, Regulation Best Interest, violations of various FINRA Rules, regarding the purchase of GWG L-bonds during March 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tweed (Tweed), previously associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tweed recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on October 16, 2024.

Allegations include negligence and improper recommendations for investments made prior from approximately 2012 to 2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Shimshidian (Shimshidian), currently associated with Cabot Lodge Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Shimshidian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $255,000.00 on November 21, 2024.

Claimant alleges Breach of Fiduciary Duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to Supervise, Violation of Regulation Best Interest, regarding the purchase of GWG L-bonds from November 2017 through April 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Arlein (Arlein), previously associated with Cabot Lodge Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Arlein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $267,000.00 on January 16, 2025.

Claimant alleges negligence, breach of fiduciary duty, and negligent supervision regarding the purchase of GWG L-Bonds during 2018.

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