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 | 11/14/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Louis James MacLoskey | 316342 | 1 | 09/28/1988 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| David Alan Farbman | 603433 | 1 | 07/29/1988 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Douglas Hammond Lemon | 802386 | 2 | 06/01/1988 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Dennis Wayne Giese | 1052519 | 1 | 05/04/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Robert Hardcastle | 1676995 | 3 | 04/25/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Curley | 58965 | 2 | 02/10/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Slade Miller | 3200739 | 3 | 09/01/1987 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| Winston Cartwright Sheppard | 1028461 | 1 | 05/22/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joe Robert Bright | 4645372 | 1 | 11/18/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |