Brad C. Lawing of Springfield, Missouri, a stockbroker formerly registered with Cambridge Investment Research, Inc., has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that Lawing, inter alia, effected unsuitable business development company transactions in customers’ investment accounts. Letter […]
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Tag Archives: Brad C. Lawing
Regulator Suspends Cambridge Stockbroker For Suitability
November 20, 2017 | Posted by : Guiliano Law Group | Business Development Companies, Securities Arbitration Claims | Comments Off on Regulator Suspends Cambridge Stockbroker For Suitability
Cambridge Investment Research Sued By Customers
March 16, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims, Unauthorized Trading | Comments Off on Cambridge Investment Research Sued By Customers
Brad C. Lawing, of Springfield, Missouri, a stockbroker currently registered with Cambridge Investment Research, Inc., has been named in a customer initiated investment related written complaint on January 19, 2017, in which the customer requested $8,500.00 in damages based upon allegations that Lawing failed to apprise the customer concerning the fees associating with the switching […]
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