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Tag: Cambridge Investment Research

Broker-Dealer Overview

Sixteen Firms to pay $81 Million for Texting

SEC Fines Firms $81 Million to Settle Charges of Mishandling Electronic Communications According to Investment News last week, several...

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Broker Investigations, FINRA SEC Sanctions

Edward Mercer, Cambridge Investment, Barred by FINRA  

FINRA Bars Cambridge Investment Broker Edward Mercer after Allegations of Selling Away   According to public records, on November 15,...

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Broker Investigations

Todd Lesk Barred after Selling Away Allegations 

FINRA Bars Cambridge Broker Todd Lesk after Crypto Asset Offering Sales  According to public documents, the Financial Industry Regulatory...

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Blog, Securities Fraud Articles

Do you know what you’re paying your Financial Advisor? 

Do you know what you’re paying your Financial Advisor –  in Fees or Commissions?  More than one in five investors don’t know...

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Blog, Current Investigations, Securities Fraud Articles

Brad Lawing Suspended for Unsuitable Investments

Brad Lawing – Cambridge Investment Research – Securities Investigation According to the Financial Industry Regulatory Authority (FINRA)...

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Blog, Securities Fraud Articles

Most Profitable "Indie" Brokerage Firms

The Investment News recently announced the most profitable “indie” brokerage firms.  They are as follows: Rank Firm Pre-tax earnings ?...

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