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 |
|---|---|---|---|---|---|---|---|---|
| Devin M Rose | 6082238 | 3 | 05/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Aloysius Locke | 1980843 | 9 | 04/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Matthew Mitcham | 5481389 | 2 | 04/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reuben Lewis | 4145362 | 1 | 03/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Esperanza Padilla Gomez | 1386295 | 6 | 02/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Ernest Joly | 2193463 | 8 | 02/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Ernest Joly | 2193463 | 8 | 02/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Aloysius Locke | 1980843 | 9 | 01/25/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ramon Valdez | 2592276 | 14 | 12/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Paul Bell | 6093989 | 5 | 10/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |