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Cambridge Investment Research

Christian L. Webb-Former LPL Financial Broker-Investigation Update-Lakeway, TX
Christian L. Webb-Former LPL Financial Broker-Investigation Update-Lakeway, TX 150 150 Rex Securities Law

October 2017-Lakeway, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) ,  a  currently unregistered stockbroker who was last registered with Dominion Investors Services of Horseshoe Bay, TX  , discloses a termination…

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Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC
Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC 150 150 Rex Securities Law

 JUNE 2017- Charlotte, NC According to publicly available records Matthew S. Kocsis, (CRD#4787057) ,  a  stockbroker who  is registered with Cambridge Investment Research discloses 2 prior customer disputes. The Financial Industry Regulatory…

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CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL
CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL 150 150 Rex Securities Law

April 2017- Miami, FL The FINRA records of  Charles M. McInnis (CRD # 1321666) ,  a  stockbroker who was previously employed by  Cambridge Investment Research, Inc.   disclose 3 final regulatory events,  3 customer disputes that are…

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Christian L. Webb-Former LPL Financial Broker-Discloses Termination-Austin, TX
Christian L. Webb-Former LPL Financial Broker-Discloses Termination-Austin, TX 150 150 Rex Securities Law

OCTOBER 2017 UPDATE-Christian Webb is not currently registered as a broker. See this for more.  November 2016-Austin, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) ,  a  stockbroker who is…

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Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator
Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator 150 150 Rex Securities Law

Weatherford, Texas Stanley Brian Catlin, a CPA and Weatherford ISD school board trustee was fined $6,000 by the Texas State Securities Board (TSSB) for acting as an investment adviser representative…

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Craig R. Wirth Discloses Discharge From SWS Financial
Craig R. Wirth Discloses Discharge From SWS Financial 150 150 Rex Securities Law

Addison, Texas According to FINRA records,  Craig R. Wirth ,   a stockbroker who currently works for Cambridge Investment Research.   discloses  an Employment Separation After Allegation event. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments
Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments 150 150 Rex Securities Law

Aberdeen, South Dakota JUNE 2017 UPDATE–Michael A. Duch discloses two regulatory events and 2 prior customer disputes on his FINRA record. In 3/ 2016 he was fined $2,000 by the…

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Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA
Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA 150 150 Rex Securities Law

September 22, 2015- Metairie, LA Ralph Savoie , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…

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Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds
Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds 150 150 Rex Securities Law

August 18, 2015- Henderson, Nevada Glenn Allen Moffitt  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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