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 |
|---|---|---|---|---|---|---|---|---|
| Chelsea Nykole Haynes | 6595147 | 1 | 07/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shanna Joelle Tingom | 4734752 | 3 | 07/01/2022 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Christopher J Gordon | 5714224 | 3 | 06/30/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 4 | 06/30/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Patrick Norris | 1218218 | 1 | 06/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Valenta | 1386978 | 6 | 06/21/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly C Weaver | 4626548 | 1 | 06/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Beverly Antoinette Taite | 4125750 | 1 | 06/13/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jay H Kim | 4317260 | 2 | 06/13/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Fair Paull | 2968273 | 10 | 06/09/2022 | Customer Dispute | Settled | $97,953.00 | $0.00 | See FINRA Report |