Articles Tagged with Cambridge Investment Research

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Llewellyn (Llewellyn), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Llewellyn 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 $216,000.00 on September 19, 2020.

Client alleges misrepresentation and unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David White (White), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $80,686.00 on October 20, 2020.

Clients allege the FP failed to liquidate their accounts after receiving express instruction. The failure to liquidate the accounts allegedly resulted in losses to the clients.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Blake (Blake), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $50,000.00 on November 02, 2020.

SOC alleges sale of unsuitable investments.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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