Articles Tagged with Cambridge Investment Research

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

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

Customer alleges an annuity purchase and subsequent exchange was not in her best interest, resulting in market loss and loss of death benefit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joe Hall (Hall), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $50,000.00 on June 11, 2025.

The claimant alleged the representative, who was assigned to their account in 2018, recommended that they continue to hold their non-traded real estate investment trust they purchased through their prior representative in June 2015. The claimant alleges the representative told them they would get their money back in two years. They allege the advice was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Phillipich (Phillipich), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Phillipich 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 $300,000.00 on October 02, 2023.

Customers alleged RR recommended unsuitable variable annuity products which customers purchased in 2010 and 2011.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Coffin (Coffin), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coffin 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 July 10, 2025.

Customer alleges improper timing of annuity solicitation in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Coffin (Coffin), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coffin 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 July 10, 2025.

Customer alleges improper timing of annuity solicitation in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Van Allen (Van Allen), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Allen 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 $200,000.00 on May 01, 2025.

The Complaint alleges a Prenuptial Agreement and a Last Will and Testament were ignored resulting in funds being distributed to the wrong party upon the client’s death.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ortega (Ortega), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ortega 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 $200,000.00 on May 01, 2025.

The Complaint alleges a Prenuptial Agreement and a Last Will and Testament were ignored resulting in funds being distributed to the wrong party upon the client’s death.

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carolyn Valentine (Valentine), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valentine 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 $882,557.00 on August 08, 2023.

The Statement of Claim is filed on behalf of ten claimants against four broker-dealers, including Grove Point Investments, LLC, involving the same investment, – Centerpointe tenant in common interests offered by Cole Capital Partners, LLC. Claimants allege unsuitability, breach of fiduciary duty, and negligence. Grove Point is contesting the claims in full. Activity occurred July 14, 2007 to November 19, 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Quirk (Quirk), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Quirk 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 $500,000.00 on September 22, 2023.

Statement of Claim alleges FP recommended unsuitable non-traded Real Estate Investment Trusts.

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