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 |
|---|---|---|---|---|---|---|---|---|
| Heather Marie Becklund | 4957457 | 9 | 12/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Henry Parrish | 4818343 | 14 | 10/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darwin Duplessy | 6119094 | 3 | 10/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Jacob Lydecker | 314901 | 1 | 10/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darwin Duplessy | 6119094 | 3 | 10/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darwin Duplessy | 6119094 | 3 | 10/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William A Fochi | 1773450 | 5 | 10/06/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Dawn Lemley | 6545637 | 2 | 09/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Dee Crabtree | 5060519 | 1 | 09/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Dawn Lemley | 6545637 | 2 | 08/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |