Investors might have sustained losses due to securities broker John Mickelson [CRD: 2628700, Logan, Utah], according to disclosures on FINRA BrokerCheck. Specifically, Mickelson worked for Cambridge Investment Research Inc. from October 19, 2012 to December 31, 2022, and for Crown Capital Securities, L.P. from January 3, 2023 to March 12, 2024. He joined CreativeOne Securities […]

Investors reportedly complained about securities broker John Brian Lee (also known as Brian Lee) [CRD: 2950037, Fort Worth, Texas], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lee worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from June 7, 2012 to August 25, 2021, and […]

One or more investors apparently complained about securities broker Matthew Ryan Stucke (also known as Matt Stucke) [CRD: 4840895, Milton, Georgia], according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It seems that Stucke has worked for Cetera Advisor Networks LLC since October 26, 2022, and Cetera Investment Advisers LLC since March […]

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 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and […]

Investors complained about securities broker / financial advisor Michael Joseph Valenta (also known as Mike Valenta) [CRD: 1386978, Westminster, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Valenta joined Cambridge Investment Research Inc. on June 19, 2008. The following information is an overview of the securities broker’s disclosures. Cambridge Investment […]

Investors possibly experienced losses because of securities broker Robert Frederick Blake [CRD: 22955, Greenwood Village, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Blake worked for Cambridge Investment Research Inc. from November 19, 2012, to December 31, 2018. Here’s an overview of the securities broker’s disclosures. Cambridge Investment Research Inc. […]

Some investors have potentially experienced damages because of securities broker Sean Michael Kane [CRD#: 5778281, York, Pennsylvania], according to disclosures through FINRA and SEC. Evidently, Kane worked with Cambridge Investment Research Inc. from March 25, 2021, to March 30, 2023, and with Waddell Reed from October 2, 2018, to March 3, 2021. Read on to […]

FINRA issued sanctions to Malay Kumar [CRD: 2482909, Mason, Ohio], according to a regulatory action the regulator brought late last year. Notably, Kumar worked as a financial advisor and broker, with his last employment at Cambridge Investment Research Inc. in Mason, Ohio, from January 10, 2018, to December 21, 2021. Here’s more on FINRA’s sanctions […]