Cambridge Investment Research investigation Archives

ER
April 10, 2023
No Comments

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 10, 2023 April 10, 2023

Donald Kowalsky Investigation April 2023- Atlanta, GA The FINRA records of Donald Kowalsky , a Cambridge Investment Research, Inc. broker discloses 3 prior customer disputes and a pending customer dispute. The…

ER
April 3, 2023
No Comments

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 April 3, 2023

Christopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…

ER
March 13, 2023
No Comments

Michael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS

Michael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 13, 2023 March 13, 2023

Michael J. Petyak Investigation March 2023- Canton, MS According to publicly available records Michael J. Petyak, a broker currently employed by Calton & Associates, Inc., discloses a pending customer dispute. The Financial…

ER
March 8, 2023
No Comments

Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN

Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Greg Koalska Investigation March 2023- Oakdale, MN The FINRA records of Greg Koalska, a currently unregistered stock broker formerly employed by Cambridge Investment Research. , disclose 2 regulatory events, , a…

Rex Securities Law
September 19, 2022
No Comments

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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 19, 2022 September 19, 2022

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…

Rex Securities Law
August 31, 2022
No Comments

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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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…

ER
August 15, 2022
No Comments

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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.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…

Rex Securities Law
May 14, 2019
No Comments

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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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
June 21, 2017
No Comments

Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC

Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 21, 2017 June 21, 2017

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…