FINRA Awards for Cambridge Investment Research.

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 21-30 out of 60 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03225	02/26/2021	Claimant(s): Joseph Mackey Claimant Lawyers(s): Sarah K. Yates Respondent(s): Cambridge Investment Research., MKD Wealth Coaches Respondent Lawyers(s): Richard H. Kuhlman, Tim Mrock Arbitrator(s): Patrick R. Sughroue Hearing Site: Detroit, MI
20-02622	02/11/2021	Claimant(s): James Goodland Claimant Lawyers(s): Brian Luther Respondent(s): Cambridge Investment Research., Spire Securities Respondent Lawyers(s): Max Schatzow, Richard H. Kuhlman Arbitrator(s): Gregory G. Gocek Hearing Site: Minneapolis, MN
20-00437	01/25/2021	Claimant(s): Kyle Sadler Claimant Lawyers(s): Kyle Andrew Sadler Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): Oren L. Connaway, Danielle L. Hargrove, G. Dennis Sheehan Hearing Site: Houston, TX
20-01793	12/23/2020	Claimant(s): Todd Roselle Claimant Lawyers(s): Brian Luther Respondent(s): Cambridge Investment Research., Securian Financial Services. Respondent Lawyers(s): Richard H. Kuhlman, Richard J. Babnick Arbitrator(s): Patrick R. Westerkamp Hearing Site: Wilmington, DE
20-01574	12/11/2020	Claimant(s): Sheldon Harber Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
20-01265	12/01/2020	Claimant(s): Dean Giella Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): Annamaria Boccia Smith Hearing Site: New York, NY
20-01005	11/09/2020	Claimant(s): Brad Lawing Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): C. Sumpter Logan Hearing Site: Kansas City, MO
20-01158	10/29/2020	Claimant(s): Micahel Chadwick Claimant Lawyers(s): Brian Luther Respondent(s): Cambridge Investment Research., Portsmouth Financial Services Respondent Lawyers(s): Randy Fox, Richard Kuhlman Arbitrator(s): Steven R. Rolnick Hearing Site: Hartford, CT
20-00725	09/21/2020	Claimant(s): John Girouard Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): Patricia H. Latham Hearing Site: Washington, DC
19-03405	07/22/2020	Claimant(s): Casey Craig Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research., MML Investors Services Respondent Lawyers(s): Richard H. Kuhlman, William P. Thornton Arbitrator(s): Jane C. Carney Hearing Site: Washington, DC