Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cambridge Investment Research, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Steven Lemuel Sparks | 4252472 | 1 | 03/21/2014 | Customer Dispute | Closed-No Action | $8,709.00 | $0.00 | See FINRA Report |
| Christian Francis Bleidt | 5222815 | 1 | 04/17/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William E Cully | 1696058 | 1 | 07/27/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Keith Harold Offel | 2570946 | 3 | 07/16/2012 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jane L Louie-Sermeno | 4790516 | 2 | 05/16/2012 | Customer Dispute | Closed-No Action | $36,856.00 | $0.00 | See FINRA Report |
| Ralph Edward Martin | 1357741 | 6 | 08/09/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ann Catherine Stalans | 2074172 | 1 | 09/25/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stoney Jay Lee | 3277538 | 1 | 01/25/2010 | Customer Dispute | Closed-No Action | $65,813.20 | $0.00 | See FINRA Report |
| Susan Lorraine Tate | 2786689 | 2 | 11/02/2009 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valenta | 1386978 | 7 | 06/03/2009 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |