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Cambridge Investment Research controversies

Controversies tied to this brand in public sources. A listing is not a finding of fault.

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  1. 2016

    SEC action concerning client fraud and unsuitable trading

    The SEC alleged that Cambridge Investment Research Advisors did not adequately supervise an employee who defrauded at least 47 advisory clients and conducted unsuitable trades in some client accounts. The subsidiary settled the action by paying a $225,000 penalty.

    Source