Tag Archives: Cambridge Investment Research

FINRA Bars Cambridge Stockbroker In Wire Fraud Investigation

November 30, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Misappropriation of Funds, Securities Fraud, Stockbroker Theft   |   Comments Off on FINRA Bars Cambridge Stockbroker In Wire Fraud Investigation

Lynn Dale Cawthorne of Shreveport Louisiana a stockbroker formerly registered with Cambridge Investment Research Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Decision and Order of Offer of Settlement containing findings of Cawthorne failing to comply with FINRA during an investigation concerning Cawthorne’s […]

Read More »

Cambridge Stockbroker Barred By FINRA For Conversion

Anselmo Contreras Jr. of Angleton Texas a stockbroker formerly employed by Cambridge Investment Research has been barred from associating with any Financial industry Regulatory Authority (FINRA) member in any capacity based upon findings that Contreras converted a customer’s funds while he was associated with Cambridge Investment Research. Letter of Acceptance, Waiver and Consent No. 2018057254501 […]

Read More »

Investors Accuse Cambridge Of Bad Equity Investments

Sanjoy Dasgupta of Greenwood Village Colorado a stockbroker formerly registered with Cambridge Investment Research, Inc. is the subject of a customer initiated investment related written complaint on July 18, 2017 in which the customer requested $22,470.93 in damages supported by accusations that the customer’s assets were inappropriately concentrated in equity investments. Financial Industry Regulatory Authority […]

Read More »

FINRA Censures Cambridge For Failure To Supervise ETFs

Cambridge Investment Research a brokerage firm headquartered in Fairfield Iowa has been censured and fined $150,000.00 by Financial Industry Regulatory Authority (FINRA) supported by consenting to findings that the firm failed to supervise non-traditional exchange traded fund sales and variable annuity redemptions. Letter of Acceptance Waiver and Consent No. 2016048934301 (May 3, 2018). According to […]

Read More »