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 |
|---|---|---|---|---|---|---|---|---|
| Trey Novara | 5780285 | 2 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duncan Pray | 7384213 | 4 | 10/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Stockwell | 6398497 | 4 | 10/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Leon Elks | 1003346 | 1 | 10/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Elizabeth Ericksen | 6356666 | 5 | 09/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vipul Mallick | 2940443 | 1 | 08/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duncan Pray | 7384213 | 4 | 08/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Frank Head | 1633324 | 4 | 08/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Thomas Rohrer | 2140603 | 5 | 07/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacquelynn Ann Kill | 6894347 | 1 | 07/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |