Cambridge Investment Research

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.

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

May 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2020.

The client alleged the registered representative processed trades in his American Funds account without his authorization in March of 2020.

There are Recent Customer Complaints with Broker Doyle Brown in Firm Cambridge Investment Research, INC.

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Doyle Brown (Brown), currently associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brown 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 $31,500.00 on June 04, 2020.

Customer alleged 2018 mutual fund purchase was misrepresented.

There are Recent Customer Complaints with Broker Phillip Smelser in Firm Cambridge Investment Research, INC.

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Smelser (Smelser), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smelser 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 $600,000.00 on June 29, 2020.

SOC alleges the sale of unsuitable investments, misrepresentation and other sales practice violations.

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

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Shuster (Shuster), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shuster 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 August 13, 2020.

Statement of Claim alleges client was sold alternative, illiquid and complex investment products rather than traditional liquid and well-diversified investment portfolio options.

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

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ferguson (Ferguson), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ferguson 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 $300,000.00 on January 04, 2021.

Claimant’s allege that the financial professional recommended an alternative investment that was unsuitable.

Broker Dean Evans in Cambridge Investment Research, INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Evans (Evans), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $264,000.00 on January 12, 2021.

Claimant alleges unsuitability in investments which caused financial harm. The allegations include negligence, gross negligence, over concentration, brech of fiduciary duty, breech of contract and material misrepresentation an ommissions.