Cambridge Investment Research

Broker Christopher Harpin in Cambridge Investment Research, INC. Firm Has Customer Complaint

January 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Harpin (Harpin), currently associated with Cambridge Investment Research, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Harpin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 01, 2025.

On April 2, 2025, without admitting or denying the findings, Christopher entered into an Acceptance, Waiver and Consent (‘AWC’) with FINRA wherein Christopher consented to the entry of findings that from August 2018 through April 2021, Christopher caused at least 638 solicited purchases of high-yield bonds in 53 of his customers’ accounts to be incorrectly marked as unsolicited when, in fact, Christopher had solicited the transactions. Christopher’s conduct continued despite being warned by the firm that solicited transactions involving high-yield bonds were prohibited. By causing these transactions to be mismarked, Christopher caused his firm to maintain inaccurate books and records. Respondent agreed to a two-month suspension from associating with any FINRA member in all capacities and to the payment of a fine in the amount of $5,000.

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

January 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 19, 2025.

Client alleges unsuitability, common law fraud, breach of contract, negligent supervision. Breach of fiduciary duty, negligence,

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

January 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 20, 2025.

Client alleges that unauthorized withdrawals were permitted to be made from her account by her husband and that she was not communicated with to confirm the transactions.

Broker Steven Ford in Cambridge Investment Research, INC. Firm Has Customer Complaint

December 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ford (Ford), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ford 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 $26,000.00 on March 25, 2022.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Dennis Lerner in Firm Cambridge Investment Research, INC.

December 20, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dennis Lerner (Lerner), previously associated with Cambridge Investment Research, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Lerner 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 October 21, 2025.

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 John Williams in Firm Cambridge Investment Research, INC.

November 29, 2025 | 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 settled customer complaint on April 18, 2022.

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.

Broker Thomas Ren in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ren (Ren), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ren 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 June 21, 2022.

Customer alleges lack of suitability and insufficient product due diligence in regards to purchases in alternative investments.

Broker Kevin Albritton in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kevin Albritton (Albritton), 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 Albritton 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 June 21, 2022.

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.

Broker Airinhos Serradas in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Claimant alleges he does not remember authorizing the representative to move funds into a money market annuity sub-account. Claimant also alleges the representative implemented an unsuitable investment strategy within the Claimant’s two variable annuities.

Broker Kevin Johnson in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2022.

Claimants allege unsuitable recommendations, misrepresentation, breach of fiduciary duty, negligence, and failure to supervise.