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Category: Cambridge Investment Research

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Former Cambridge Investment Financial Advisor Dale Wright Has Ten Customer Complaints

Dale Wright (CRD#: 1142615) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1983 and previously worked for Cambridge Investment Research, Inc.; Sanders Morris Harris, Inc.; QA3 Financial Corp.; National Planning Corporation; Centennial Capital Management, Inc.; and First American National Securities, Inc. Current And Past Allegations […]

Former Cambridge Investment Research Financial Advisor David Melilli Barred by FINRA After Allegations of Exercising Discretion Without Authorization That Resulted In Investment Loss

David Melilli (CRD#: 5254172) is a registered Investment Advisor and previously registered Broker.   Broker’s Background   He entered the securities industry in 2006 and previously worked for Cambridge Investment Research, Inc.; LPL Financial, LLC; Sagepoint Financial, Inc.; Janney Montgomery Scott, LLC; Morgan Stanley & Co., Inc.; and Lincoln Financial Advisors Corp.   Current And […]

Cambridge Investment Research Financial Advisor Stewart Schram Suspended by FINRA for Allegedly Selling Away

Stewart Schram (CRD#: 1711571) was a Financial Advisor at Cambridge Investment Research, Inc., in Buffalo Grove, IL. He entered the securities industry in 1991 and previously worked for Freedom Investors Corp., and Kingsbury Capital, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2021, FINRA sanctioned Stewart Schram, […]

Former Cambridge Investment Research Financial Advisor Michael Francoeur Barred After Selling Away

Michael Francoeur (CRD#: 5534184) was a Financial Advisor at Cambridge Investment Research, Inc., in Somersworth, NH from January 2012 until April 2020. He entered the securities industry in 2008 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2021, FINRA sanctioned Michael Francoeur, […]

Cambridge Investment Research, Inc. Broker, Philip Smelser, Has Had Two Customer Complaint Disclosures Since January 2019

Philip Smelser (CRD# 2338831) is a Financial Advisor at Cambridge Investment Research, Inc. in Woodfin, NC. Philip Smelser has been in the securities industry since 1993 and previously worked at AIG Financial Advisors, Inc., Householder Group, Estate & Retirement Specialists, Sunamerica Securities, Inc, and Suntrust Securities, Inc. According to publicly available records released by the […]

Ronald Paull (CRD # 2968273) is a Financial Advisor at Cambridge Investment Research in Archbald, Pennsylvania. Ronald Paull has been in the securities industry since since 1997 and previously worked at LPL Financial and National Planning Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in 2018, the New York […]

Former Cambridge Investment Research Broker, Gary Meier, Has Six Customer Complaints, Including Five Pending Complaints

Gary Meier is a former Financial Advisor at Cambridge Investment Research in Vancouver, WA.  Gary Meier has been in the securities industry since 1987 and previously worked at Symetra Investment Services and Pacific West Securities.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Gary Meier has six customer complaints […]

Cambridge Investment Research Financial Advisor, Alan Dole, Has Two Pending Customer Complaints

The Wolper Law Firm is currently investigating claims against Alan Dole, a Financial Adviser at Cambridge Investment Research in Henrico, Virginia.  Alan Dole has been in the securities industry since 2005 and previously worked at Sanders Morris Harris.    According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Alan Dole is currently […]

Financial Advisor, John Pronovost, Has Had Five Customer Complaints Filed Against Him In 2018 For Alleged Sales Practice Violations

The Wolper Law Firm is currently investigating claims against John Pronovost, a Financial Advisor at Cambridge Investment Research in Watertown, Connecticut. John Pronovost has been in the securities industry since the 1980s and previously worked at MML Investor Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in 2018, five […]