Cambridge Investment Research Tag Archives

There are Recent Customer Complaints with Broker Nicolas Longpre in Firm Cambridge Investment Research, INC.

June 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicolas Longpre (Longpre), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Longpre 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 $750,000.00 on June 03, 2026.

Clients allege unsuitable investments and risks not fully explained.

Broker Scott Barber in Cambridge Investment Research, INC. Firm Has Customer Complaint

June 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Barber (Barber), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $5,000.00 on April 10, 2026.

Customer alleges that a February 2026 recommendation to exchange a variable annuity to a fixed index annuity was unsuitable.

Broker John Williams in Cambridge Investment Research, INC. Firm Has Customer Complaint

May 18, 2026 | 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 pending customer complaint on March 13, 2026.

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.

There are Recent Customer Complaints with Broker Michael Kaufman in Firm Cambridge Investment Research, INC.

May 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 13, 2026.

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.

There are Recent Customer Complaints with Broker Robert Waugh in Firm Cambridge Investment Research, INC.

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Waugh (Waugh), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waugh 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 $35,733.00 on March 30, 2026.

The clients allege that RR provided a poor recommendation to sell mutual funds resulting in tax consequences.

There are Recent Customer Complaints with Broker Timothy Owens in Firm Cambridge Investment Research, INC.

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Owens (Owens), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Owens 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 $150,000.00 on April 17, 2020.

Allegations of improper investment recommendations.

Broker John Grillo in Cambridge Investment Research, INC. Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Grillo (Grillo), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grillo 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 $327,000.00 on May 06, 2020.

Verbal allegations related to suitability of investments.

Broker John Naegele in Cambridge Investment Research, INC. Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Naegele (Naegele), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Naegele 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 $25,749.00 on May 12, 2020.

Failure to follow Instructions.

There are Recent Customer Complaints with Broker Molly Grubb in Firm Cambridge Investment Research, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Grubb (Grubb), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grubb 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 $500,000.00 on May 29, 2020.

Clients allege that RR misrepresented the products sold to them. Allegations were made that the products purchased were unsuitable for their risk tolerance and inexperienced investing.

Broker William Randall in Cambridge Investment Research, INC. Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Randall (Randall), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall 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 $40,000.00 on June 01, 2020.

Claimants allege they desired to purchased low-risk investments, but were encouraged to invest in two unsuitable investments, which caused them to sustain damages under theories of breach of fiduciary duty and breach of contract.