Articles Tagged with Cambridge Investment Research

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Cox (Cox), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $80,000.00 on April 11, 2024.

Customer alleges unsuitable investments.

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Currently financial advisor Brian Dreier (Dreier), currently employed by brokerage firm Cambridge Investment Research, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $268,000.00 on April 08, 2024.

Claimants allege representative was negligent in recommending that clients should use illiquid REITs for their retirement portfolio. Claimants also allege that representative misrepresented that the investments were safe.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kent Herring (Herring), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Herring 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 $15,000.00 on May 06, 2024.

Claimant alleges that the Representative recommended an unsuitable investment strategy that included a risky and complex insurance product. Claimant further alleges that features of the product were misrepresented by the Representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Savoie (Savoie), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Savoie 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 $15,000.00 on May 06, 2024.

Claimant alleges that the Representative recommended an unsuitable investment strategy that included a risky and complex insurance product. Claimant further alleges that features of the product were misrepresented by the Representative.

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

FINRA BrokerCheck shows a pending customer complaint on July 29, 2024.

Customers allege that investments made in 2014 and 2015 were unsuitable for the customers’ investment objectives and risk tolerance.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dennis Malachosky (Malachosky), 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 Malachosky  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 February 27, 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.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Fay (Fay), currently 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 Fay  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 February 27, 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.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joyce Hinds (Hinds), 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 Hinds  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 March 13, 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.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kurt Cambier (Cambier), currently associated with Cambridge Investment Research, INC., has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Cambier  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 March 13, 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carla-ann Goedtke (Goedtke), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Goedtke 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 $80,000.00 on March 20, 2025.

Claimant alleges unsuitable recommendation and sale of L-Share annuity in 2012.

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