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 |
|---|---|---|---|---|---|---|---|---|
| Ellis Eugene Grossnickle | 1283246 | 3 | 09/01/1983 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Mark Steven Stickel | 713132 | 4 | 06/01/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Steven Stickel | 713132 | 4 | 04/02/1983 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Cathy Webster Pinard | 4282168 | 2 | 12/21/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond William Powell | 855705 | 1 | 06/16/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fochson Fung | 5335800 | 1 | 03/20/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Timothy Hannah | 4591605 | 1 | 07/25/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Addison Steele | 1336981 | 3 | 05/14/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Forrest Brock | 2329752 | 1 | 01/01/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Robert Hardcastle | 1676995 | 3 | 04/24/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |