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Cambridge Investment Research investigation

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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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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