Soreide Law Group is investigating possible investor claims against Michael James Thaler (CRD: 2557899, Henrico, Virginia). Evidently, Commonwealth of Virginia is investigating the securities broker, who worked for Cambridge Investment Research Inc. Supposedly, Thaler possibly was the subject of a client complaint. Here is a brief summary of Commonwealth of Virginia’s allegations against Thaler.
Evidently, on November 17, 2022, Commonwealth of Virginia initiated an investigation into Michael Thaler. Evidently, Commonwealth of Virginia’s investigation concerns whether Thaler was the subject of a client complaint.
Also, on November 7, 2022, a Cambridge Investment Research Inc. client filed a complaint about Michael Thaler. Namely, the client alleged that Thaler recommended investments which poorly performed. Because of this, the client allegedly sustained damages on BDC (business development company) products. Therefore, the client requested compensation from Cambridge Investment Research Inc. or Thaler. However, the securities firm denied this complaint.
Specifically, a client of Cambridge Investment Research Inc. contested Michael Thaler’s sales practices, according to a complaint dated September 29, 2022. Allegedly, Thaler made unsuitable recommendations. Supposedly, Thaler caused the client to sustain damages on BDC (business development company) products and oil and gas investments. Therefore, the client sought compensatory relief from Cambridge Investment Research Inc. or Thaler in this matter. However, the securities firm denied this complaint.
Thaler joined Cambridge Investment Research Inc. as a securities broker in November 2011. Also, he has worked for Cambridge Investment Research Advisors Inc. as a financial advisor since November 2011.
Sustained damages by investing with Michael Thaler? If so, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has helped recover money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Thaler and brokerage firms Thaler worked for deny any and all allegations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Soreide Law Group is investigating potential investor claims involving losses in NextGenTech Investments LLC, a private fund managed by Sestante Capital LLC that purported to provide investors with economic exposure to shares of private companies, including Anduril Industries. Recent criminal proceedings involving Sestante Capital's manager have raised significant concerns regarding the offering, the representations made […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com