Investors potentially experienced sales practice violations because of securities broker Amy Ann Brandts (also known as Amy A. Brandts, Amy Brandts, Amy Ann Ferezan) [CRD: 1228497, Herndon, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Brandts has worked for Cambridge Investment Research Inc. since February 12, 2003, and for Cambridge Investment Research Advisors Inc. since March 28, 2005. Below, you can learn more about the disclosures made against Amy Brandts and the settlements that followed.
Specifically, a client filed a complaint about Amy Brandts. The client alleged that Brandts was negligent. Specifically, the client claimed that their losses were caused by a cybersecurity breach involving Brandts' email account, which was allegedly accessed by an unknown third party. Brandts claimed he was unaware of the breach for a period of time, leading to the claim of negligence. Because of this, the client allegedly sustained damages. Therefore, on March 3, 2025, Cambridge Investment Research Inc. settled this matter by paying the client $350,000 in damages.
Specifically, a client of Cambridge Investment Research Inc. contested Amy Brandts’s sales practices, according to a complaint. Allegedly, Brandts was negligent by not detecting or preventing a cyber security breach that affected the client. It appears that Brandts caused the client to sustain damages. Therefore, Cambridge Investment Research Inc. opted to settle the matter on January 23, 2025, by compensating the client in the amount of $96,672.
When a broker or financial advisor is accused of negligence, it typically means they are believed to have failed to exercise reasonable care in handling a client’s account or personal information. This may include not acting promptly to prevent harm, not following proper security protocols, or ignoring red flags that could indicate potential issues, which can result in financial losses for clients.
Are you concerned about your investments with Amy Brandts? If so, contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of investment-related losses. Soreide Law Group has recovered losses for clients located throughout the US, represents clients through a contingency fee basis, and advances all costs. Brandts and brokerage firms Brandts worked for deny any allegations of sales practice violations.
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