Cambridge Investment Research Archives - Page 2 of 4

Rex Securities Law
August 31, 2022
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Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX

Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 31, 2022 September 19, 2022

Annetta Marie Box Investigation August 2022- Dallas, TX The FINRA records of Annetta Marie Box , a former broker with Cambridge Investment Research Advisors, disclose a recent bar from the securities…

Rex Securities Law
August 17, 2022
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Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 17, 2022 August 17, 2022

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

ER
August 15, 2022
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Frank B. Snyder- Cambridge Investment Broker-Discloses Customer Suit Over Real Estate Securities-Greenville, IL

Frank B. Snyder- Cambridge Investment Broker-Discloses Customer Suit Over Real Estate Securities-Greenville, IL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 15, 2022 August 15, 2022

Frank B. Snyder Investigation August 2022- Greenville, IL The FINRA records of Frank B. Snyder , a broker with Cambridge Investment Research Advisors, disclose a pending customer dispute. The Financial Industry…

ER
April 6, 2022
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David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ

David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 6, 2022 April 6, 2022

David Melilli Investigation April 2022- Moorestown, NJ The FINRA records of David J. Melilli , a former financial advisor who was last employed by Cambridge Investment Research and Sagepoint Financial, Inc.,…

ER
March 30, 2022
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Vince Mastrovito-Former J.W. Cole Financial Broker Discloses 2 Pending Customer Disputes and a Termination- Charlevoix, MI

Vince Mastrovito-Former J.W. Cole Financial Broker Discloses 2 Pending Customer Disputes and a Termination- Charlevoix, MI http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 30, 2022 March 30, 2022

Vince Mastrovito Investigation March 2022- Charlevoix, MI The FINRA records of Vince Mastrovito, a broker who formerly worked for J.W. Cole Financial, Inc. and Cambridge Investment Research disclose 2 pending customer…

ER
November 15, 2021
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Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD

Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 15, 2021 November 15, 2021

Eladio Santiago Investigation November 2021- Fulton, MD According to publicly available records Eladio Arturo Santiago, a broker with Cambridge Investment Research broker discloses 2 customer disputes. The Financial Industry Regulatory Authority…

Rex Securities Law
June 23, 2020
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Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX

Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2020 June 23, 2020

June 2020- Corpus Christi, TX The FINRA records of Matthew J. King, a broker currently employed by Cambridge Investment Research Advisors, Inc. , disclose a termination from employment. The Financial Industry Regulatory Authority…

Rex Securities Law
May 14, 2019
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Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas

Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 14, 2019 May 14, 2019

May 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research financial advisor Anselmo Contreras, Jr. discloses a recent regulatory event resulting in his bar from the…

Rex Securities Law
May 4, 2018
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Stephanie D. Abee-Cambridge Investment Research Broker-Discloses Settlement of Customer Disputes-Raleigh, N.C.

Stephanie D. Abee-Cambridge Investment Research Broker-Discloses Settlement of Customer Disputes-Raleigh, N.C. http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 4, 2018 May 4, 2018

May 2018- Raleigh, North Carolina According to FINRA records, Stephanie Devan Abee, a stockbroker who is currently employed by Cambridge Investment Research, disclose settlement of two customer disputes. The Financial Industry Regulatory…