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Cambridge Investment Research complaint

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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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 150 150 Rex Securities Law

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…

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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 150 150 ER

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…

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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 150 150 ER

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.,…

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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 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…

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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 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…

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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. 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…

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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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