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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Keith Williams | 705077 | 2 | 12/17/2009 | Customer Dispute | Denied | $294,000.00 | $0.00 | See FINRA Report |
| Jeffrey Lynn Coleman | 2516592 | 4 | 12/04/2009 | Customer Dispute | Denied | $11,770.00 | $0.00 | See FINRA Report |
| Joseph Richard Martin | 1035448 | 1 | 10/02/2009 | Customer Dispute | Denied | $19,964.80 | $0.00 | See FINRA Report |
| Lee Byron Stebbins | 2873625 | 1 | 09/04/2009 | Customer Dispute | Denied | $14,404.50 | $0.00 | See FINRA Report |
| David Andrew Jackson | 4290341 | 1 | 09/01/2009 | Customer Dispute | Denied | $18,940.70 | $0.00 | See FINRA Report |
| John Emery Dondero | 4359090 | 1 | 08/13/2009 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Elliott Howard Mittler | 337211 | 1 | 07/27/2009 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Karl Thomas Johnson | 4556839 | 2 | 07/16/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Phillip Holland | 2303068 | 1 | 06/18/2009 | Customer Dispute | Denied | $1,827,490.00 | $0.00 | See FINRA Report |
| Richard Alan Pollock | 4414759 | 1 | 05/22/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |