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 |
|---|---|---|---|---|---|---|---|---|
| James Patrick Norris | 1218218 | 1 | 06/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick David Orr | 1140207 | 1 | 03/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William A Fochi | 1773450 | 4 | 10/06/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Stockwell | 6398497 | 4 | 02/18/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Stockwell | 6398497 | 4 | 10/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Paul Florio | 1186577 | 3 | 08/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark William Menard | 2066519 | 2 | 06/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Edward Martin | 1357741 | 6 | 12/12/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Leroy Norcross | 5890087 | 3 | 08/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Stockwell | 6398497 | 4 | 08/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |