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 final, 1 termination and one recently resolved regulatory matter.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In March of 2016, McInnis was permitted to resign from Cambridge Investment Research who made the following allegation in connection therewith: “Permitted to resign do (sic) to ongoing FINRA matter related to supervisory events which occurred at previous firm.”
In April 2016, FINRA suspended McInnis for 18 months to resolve allegations that McInnis failed to adequately assess investors eligibility in a Rule 144A and REG S offering. Case # 20130380026.
McInnis was registered with Client One Securities from 5/2016 to 6/2016. He was previously registered with Cambridge Securities Research from 1/2014 to 4/2016. Prior to that he was registered with CP Capital Services.
If you have losses in an account in an account handled by Charles McInnis, contact us to discuss how you may be able to recover damages for those losses.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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