Mark Herding Tied To Cambridge Investment Research Client’s Overconcentration Claim

Investors apparently complained about securities broker Mark Allen Herding [CRD: 2239357, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Herding worked for Cambridge Investment Research Inc. from October 19, 2012, to February 14, 2018, and Cambridge Investment Research Advisors Inc. from November 15, 2012, to February 14, 2018. Since January 31, 2018, he has been registered with Harbour Investments Inc. as a securities broker, and since February 1, 2018, as a financial advisor. Read on to find out more about disclosures involving Herding.

Cambridge Investment Research Investor Accused Herding Of Excessive Commissions And Failure To Diversify

Evidently, on March 13, 2026, a Cambridge Investment Research Inc. client filed FINRA Arbitration No. 26-00559 about Mark Herding. Mainly, the client alleged that Herding failed to diversify investments and recommended an oil and gas investment strategy that allegedly generated excessive commissions and fees while depriving the client of the opportunity to earn returns that might have been available through a diversified portfolio. For this reason, the client allegedly sustained damages on oil and gas investments. Consequently, the client requested compensation from Cambridge Investment Research Inc. or Herding. BrokerCheck shows that this arbitration is pending a resolution.

Mark Herding Disclosed Failure To Follow Instructions Allegations By Cambridge Investment Research Client

Also, a client of Cambridge Investment Research Inc. contested Mark Herding's sales practices, according to a complaint dated January 26, 2013. Allegedly, Herding failed to follow instructions and recommended investments which poorly performed. It appears that Herding allegedly caused the client to incur damages linked to real estate securities. Therefore, the client sought compensation from Cambridge Investment Research Inc. or Herding in the amount of $17,000 in this matter. The complaint was denied on February 12, 2013.

Hornor Townsend Kent Investor Accused Herding Of Sales Practice Violation

Particularly, a Hornor Townsend Kent Inc. client filed Civil Action No. CV 2002-016246 about Mark Herding. Primarily, the client alleged that Herding was responsible for an agent’s inappropriate sale of life insurance products to the client. Because of this, the client allegedly incurred damages connected to life insurance products. As a result, on December 1, 2004, Hornor Townsend Kent Inc. settled this matter by paying the client $200,000.

Are You Looking For More Information About Securities Broker / Financial Advisor Mark Herding?

Are you worried about investments you made through Mark Herding? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak to a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of clients throughout the United States. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Herding and brokerage firms Herding worked for deny accusations of sales practice violations.