Articles Tagged with Cambridge Investment Research

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Lesk (Lesk), previously associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Lesk 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 $499,000.00 on March 19, 2025.

Customer alleges that an investment made in 2022 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Lesk (Lesk), previously associated with Cambridge Investment Research, Inc., has at least 6 disclosable events. These events include 5 customer complaints, one regulatory event, alleging that Lesk 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 August 07, 2024.

Customer alleges representative made unsuitable recommendations during the period of March 2022 to December of 2023.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Andrew Galy (Galy), 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 Galy  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 August 14, 2024.

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 Alexander Kline (Kline), 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 Kline  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 August 14, 2024.

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 Gregory Corrie (Corrie), previously associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Corrie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 20, 2024.

Without admitting or denying the findings, Corrie consented to the sanction and to the entry of findings that he declined to produce information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to the Form U5 filed by his member firm. The findings stated that Corrie’s firm had terminated Corrie for excessive use of UIT products. After an internal review by the firm was concluded, the firm made remediation payments related to the trading activity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Brandts (Brandts), currently associated with Cambridge Investment Research, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brandts 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 $450,000.00  on January 30, 2025.

Client alleges loss was suffered due to actions of an outside, unknown third party, as a result of cyber security breach with the RR’s email account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Fortin (Fortin), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fortin 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 $70,000.00 on September 20, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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

FINRA BrokerCheck shows a settled customer complaint on October 08, 2024.

Statement of Claim alleges RR failed to investment the client in accordance with investment objectives. It is alleged the RR invested in highly speculative and unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Catalano (Catalano), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Catalano 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 $25,000.00 on October 28, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Kennedy (Kennedy), currently associated with Cambridge Investment Research, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Kennedy 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 $81,000.00 on December 30, 2024.

Claimants allege the RR recommended an unsuitable Oil & Gas investment.

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