Cambridge Investment Research Tag Archives

There are Recent Customer Complaints with Broker John Williams in Firm Cambridge Investment Research, INC.

November 29, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Williams (Williams), 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 Williams concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on April 18, 2022.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Thomas Ren in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ren (Ren), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ren 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 $100,000.00 on June 21, 2022.

Customer alleges lack of suitability and insufficient product due diligence in regards to purchases in alternative investments.

Broker Kevin Albritton in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kevin Albritton (Albritton), 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 Albritton concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on June 21, 2022.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Airinhos Serradas in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Claimant alleges he does not remember authorizing the representative to move funds into a money market annuity sub-account. Claimant also alleges the representative implemented an unsuitable investment strategy within the Claimant’s two variable annuities.

Broker Kevin Johnson in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2022.

Claimants allege unsuitable recommendations, misrepresentation, breach of fiduciary duty, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker John Fuller in Firm Cambridge Investment Research, INC.

November 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2022.

Client alleges FP failed to meet services expectations, traded funds that locked in unnecessary losses and did not monitor her accounts appropriately.

There are Recent Customer Complaints with Broker Todd Bailey in Firm Cambridge Investment Research, INC.

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bailey (Bailey), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $350,000.00 on September 01, 2022.

Client alleges tax implications due to sale of a stock.

There are Recent Customer Complaints with Broker Matthew Black in Firm Cambridge Investment Research, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Black (Black), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $57,096.92 on January 11, 2023.

Clients allege that a recommendation to invest in Schwab Intelligent Portfolios, an automated investing service, in or around November 2021 was unsuitable. They further allege that their request to terminate the service and liquidate the accounts in June 2022 did not take place timely, causing further damages.

There are Recent Customer Complaints with Broker Joseph Hurley in Firm Cambridge Investment Research, INC.

October 18, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Hurley (Hurley), 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 Hurley concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on May 11, 2023.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Robert Lott in Cambridge Investment Research, INC. Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lott (Lott), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lott 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 $45,000.00 on April 15, 2025.

Client alleges RR misrepresented the benefits, terms and conditions of the annuity.