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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Oxford Sherrill | 1160379 | 7 | 04/14/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juanita Christine Causey Oraevsky | 2207825 | 3 | 04/05/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Kristian Todsen | 4498631 | 1 | 03/03/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Antonia Gail Braaksma | 4784845 | 2 | 01/21/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Stickel | 713132 | 4 | 01/15/1995 | Customer Dispute | Award / Judgment | $110,000.00 | $5,000.00 | See FINRA Report |
| Joseph John Bustin | 2145558 | 1 | 01/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Clark | 4572828 | 2 | 12/17/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bruce Wayne Moulds | 1258075 | 2 | 12/16/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rick Capozzi | 1179604 | 1 | 12/16/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Scot Wedeen | 711366 | 1 | 12/07/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |