Tag: Cambridge
SEC Charges Cambridge with Failing to Disclose Conflicts over Mutual Fund...
The Securities and Exchange Commission has charged registered investment adviser Cambridge Investment Research Advisors Inc. with failing to disclose material conflicts of interest and...
FINRA Bars Former Cambridge Broker for Misusing Client Funds
The Financial Industry Regulatory Authority has barred Anselmo Contreras Jr, a former Cambridge Investment Research broker accused of converting client funds that were intended...
LPL Recruits $520 Million Firm from Cambridge
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Premier Investments of Iowa Inc. to its broker-dealer and corporate registered investment advisor platforms....
Securities America Adds $222 Million Insurance Group to Its Platform
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), has added Futurity First Insurance...
