Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Evans (Evans), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $264,000.00 on January 12, 2021.
Claimant alleges unsuitability in investments which caused financial harm. The allegations include negligence, gross negligence, over concentration, brech of fiduciary duty, breech of contract and material misrepresentation an ommissions.