Cambridge Investment Research

There are Recent Customer Complaints with Broker Jason Baker in Firm Cambridge Investment Research, INC.

October 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Baker (Baker), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $575,000.00 on August 19, 2025.

Claimant is the estate of RR’s mother, which is being administered by RR’s estranged sister. After RR contested the will, Claimant (through sister) alleged that RR did not file requested change of beneficiary forms for his mother’s brokerage accounts.

Broker Adam Ludwig in Cambridge Investment Research, INC. Firm Has Customer Complaint

October 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Ludwig (Ludwig), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ludwig 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 $25,000.00 on August 27, 2025.

Client attorney alleges unsuitable investment, breach of fiduciary duty/negligence.

There are Recent Customer Complaints with Broker Shelby Rothman in Firm Cambridge Investment Research, INC.

October 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

Clients allege investment recommendations were unsuitable.

There are Recent Customer Complaints with Broker Peter Hill in Firm Cambridge Investment Research, INC.

October 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 26, 2025.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risk and potential for further income and growth.

There are Recent Customer Complaints with Broker Adam Griffiths in Firm Cambridge Investment Research, INC.

October 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 25, 2025.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that the Representative misrepresented the risks and potential for future income and growth.

There are Recent Customer Complaints with Broker Jason Layland in Firm Cambridge Investment Research, INC.

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Layland (Layland), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Layland 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 January 25, 2023.

Claimant alleges the financial professional recommended an annuity that was unsuitable.

There are Recent Customer Complaints with Broker Glen Viditz Ward in Firm Cambridge Investment Research, INC.

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glen Viditz Ward (Viditz Ward), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Viditz Ward 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 $1,000,000.00 on March 06, 2023.

Client asserts that the RR’s strategy was too risky.

Broker Brian Hooks in Cambridge Investment Research, INC. Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Hooks (Hooks), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hooks 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 $750,000.00 on March 31, 2023.

Claimant alleges that the representative recommended an unsuitable investment strategy that included illiquid and complex insurance products.

There are Recent Customer Complaints with Broker Floyd Bernard in Firm Cambridge Investment Research, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Floyd Bernard (Bernard), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bernard 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 $200,000.00 on May 02, 2023.

Client alleges registered representative misrepresented third party managed program, resulting in approximately $200,000 in damages.

There are Recent Customer Complaints with Broker Deborah Birch in Firm Cambridge Investment Research, INC.

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Birch (Birch), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birch 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 $200,000.00 on June 08, 2023.

Customer alleged the alternative investment she purchased in year 2014 was misrepresented and not suitable.