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Cambridge Investment Research

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA 150 150 ER

Donald Kowalsky Investigation April 2023- Atlanta, GA  The FINRA records of  Donald Kowalsky ,   a Cambridge Investment Research, Inc. broker discloses  3 prior customer disputes and a pending customer dispute. The…

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Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD 150 150 ER

Christopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a  broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…

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Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 150 150 Rex Securities Law

Webull Financial LLC Investigation March  2023 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

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Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN

Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN 150 150 ER

Greg Koalska Investigation March 2023- Oakdale, MN The FINRA records of  Greg Koalska,  a currently unregistered stock broker formerly employed by Cambridge Investment Research. ,  disclose 2 regulatory events, , a…

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Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Annetta Marie Box Investigation February  2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research,  discloses a final regulatory matter resulting…

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Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX

Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX 150 150 ER

Corrie Mitchell Investigation February  2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…

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Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX 150 150 ER

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs,  a broker employed by Securities Management and Research, Inc.,  discloses a customer dispute. The Financial…

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Michael Valenta- Cambridge Investment Research Broker-Sued Over Oil & Gas Investments-Westminster, CO

Michael Valenta- Cambridge Investment Research Broker-Sued Over Oil & Gas Investments-Westminster, CO 150 150 Rex Securities Law

Michael Valenta Investigation September 2022- Westminster, CO  The FINRA records of  Michael J. Valenta ,  a broker with Cambridge Investment Research Advisors,  disclose recently filed suits by customers seeking damages for oil…

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