fbpx

Cambridge Investment Research

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 150 150 ER

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…

read more

Lynn Cawthorne-Cambridge Investment Research Broker- Charged With Wire Fraud-Shreveport, LA

Lynn Cawthorne-Cambridge Investment Research Broker- Charged With Wire Fraud-Shreveport, LA 150 150 Rex Securities Law

October 2020- Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker who last worked for Cambridge Investment Research  has been…

read more

Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX

Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX 150 150 Rex Securities Law

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…

read more

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 150 150 Rex Securities Law

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…

read more

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. 150 150 Rex Securities Law

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…

read more

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…

read more

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…

read more

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…

read more

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…

read more