Cambridge Investment Research Tag Archives

There are Recent Customer Complaints with Broker Christopher Raup in Firm Cambridge Investment Research, INC.

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 11, 2025.

This matter involves a disagreement between two sisters regarding the handling of their late parent’s account. It is suggested that one sister May have moved funds in a way the other questions, and that the financial professional May have been involved in advising on or assisting with those transactions.

There are Recent Customer Complaints with Broker Francis Zoracki in Firm Cambridge Investment Research, INC.

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Zoracki (Zoracki), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zoracki 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 $250,000.00 on December 23, 2025.

Client’s allege the RR recommended an investment that was unsuitable given their stated financial profile. Additionally, clients allege unauthorized trading occurred.

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

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nelson (Nelson), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $2,200,000.00 on February 16, 2021.

Statement of Claim alleges Claimants were sold multiple alternative investments based on material misrepresentations and omissions. Claimants allege they were over-concentrated in high-risk, high-commission and speculative alternative investments.

There are Recent Customer Complaints with Broker Bruce Ivol in Firm Cambridge Investment Research, INC.

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.

Claimants allege the RR misrepresented the tax implications of their retirement plan.

There are Recent Customer Complaints with Broker Marc Lopresti in Firm Cambridge Investment Research, INC.

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Lopresti (Lopresti), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopresti 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 $142,985.17 on March 12, 2021.

Client alleges the RR recommended and purchased unsuitable investments related to five listed equity securities.

There are Recent Customer Complaints with Broker Scott Ivol in Firm Cambridge Investment Research, INC.

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Claimant alleges the RR misrepresented the tax implications of a retirement plan.

Broker Michael Speer in Cambridge Investment Research, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Speer (Speer), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Speer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Client alleges unsuitable investments.

There are Recent Customer Complaints with Broker Daniel Holman in Firm Cambridge Investment Research, INC.

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Holman (Holman), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holman 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 $495,000.00 on April 29, 2021.

Clients allege misrepresentation of unsuitable products.

There are Recent Customer Complaints with Broker William Mauro in Firm Cambridge Investment Research, INC.

February 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 26, 2021.

Customer alleged that certain attributes of the annuity contract purchased were not explained and was given poor advice to take Required Minimum Distributions from the contract which impacted the income benefit rider.

There are Recent Customer Complaints with Broker David Park in Firm Cambridge Investment Research, INC.

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Park (Park), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Park 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 $3,000,000.00 on June 09, 2021.

Claimants allege that the recommendation of investments in 2016 and 2018 were not suitable and that misrepresentations/omissions were made with regard to certain investment products.