Category: Cambridge Investment Research

Did You Lose Money Because of Brian Jones?

Filed: March 13, 2024

Brian Jones currently has one (1) pending regulatory event. Overall, he has been the subject of one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Brian Keith Jones.

Who Is Brian Keith Jones of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Brian Keith Jones
• Aliases: Brian Jones
• CRD: 4203098
• Location: Pilot Grove and Mount Pleasant, Iowa
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Investment Advisors Corp, Broker Dealer Financial Services Corp., and LWBJ Investment Services, LLC
• Number of Known Regulatory Events: 1
• Can Brian Jones Be Sued: Yes, in Private Arbitration
• Can Brian Jones’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Brian Jones, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a portfolio mismanagement lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Brian Jones For Broker Misconduct

As of this publication date, Brian Jones has been the subject of 1 regulatory event. Let’s review it below.

In February 2024, FINRA initiated a regulatory event against or in reference to Brian Jones for participating in two private securities transactions without providing prior written notice to his firm. As a result, it is alleged the financial professional violated FINRA Rules 3280 and 2010.

How To File A Claim Against Brian Jones of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Investment Advisors Corp, Broker Dealer Financial Services Corp., and LWBJ Investment Services, LLC) To Get Your Money Back

If you have questions about Brian Jones, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Investment Advisors Corp, Broker Dealer Financial Services Corp., LWBJ Investment Services, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Sean Kane?

Filed: March 12, 2024

Sean Kane currently has one (1) pending civil event and one (1) pending investigation. Overall, he has been the subject of one (1) investigation, two (2) termination events, and one (1) civil event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Sean Michael Kane.

Who Is Sean Michael Kane?

• Advisor Name: Sean Michael Kane
• Aliases: Sean Kane
• CRD: 5778281
• Location: York, Pennsylvania
• Current Employer: Currently Not Registered
• Previous Firms: Cambridge Investment Research, Inc., Waddell & Reed, and Resource Securities LLC
• Number of Known Investigations: 1
• Number of Known Civil Events: 1
• Number of Known Termination Events: 2
• Can Sean Kane Be Sued: Yes, in Private Arbitration
• Can Sean Kane’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Sean Kane, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Sean Kane For Broker Misconduct

As of this publication date, Sean Kane has been the subject of 1 civil event, 2 termination events, and 1 investigation. Let’s review them below.

In March 2023, United States Securities and Exchange Commission initiated a civil event against or in reference to Sean Kane for violating the firm’s policies and procedures. Mr. Kane also defrauded and breached his fiduciary duty to clients and violated the anti-fraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.d.

In March 2023, United States Securities and Exchange Commission initiated an investigation against or in reference to Sean Kane for violating the firm’s policies and procedures. Mr. Kane also defrauded and breached his fiduciary duty to clients and violated the anti-fraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.d.

In March 2023, Cambridge Investment Research, Inc. terminated Sean Kane after allegations that he and a family member “repeatedly defrauded and breached their fiduciary duty” to clients.

In February 2021, Waddell & Reed terminated Sean Kane for violation of multiple firm policies including outside business activities, communications with the public, client/data privacy and client signatures.

How To File A Claim Against Sean Kane (previously with Cambridge Investment Research, Inc., Waddell & Reed, and Resource Securities LLC) To Get Your Money Back

If you have questions about Sean Kane, Cambridge Investment Research, Inc., Waddell & Reed, Resource Securities LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Kevin Kane?

Filed: March 12, 2024

Kevin Kane currently has one (1) pending civil event and one (1) pending investigation. Overall, he has been the subject of one (1) civil event, one (1) investigation, two (2) termination events, two (2) financial events, one (1) judgment/lien event, and four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Kevin John Kane.

Who Is Kevin John Kane?

• Advisor Name: Kevin John Kane
• Aliases: Kevin Kane
• CRD: 2269484
• Location: York, Pennsylvania
• Current Employer: Currently Not Registered
• Previous Firms: Cambridge Investment Research, Inc., Waddell & Reed, and Wells Fargo Advisors, LLC
• Number of Known Customer Complaints: 4
• Number of Known Civil Events: 1
• Number of Known Investigations: 1
• Number of Known Financial Events: 2
• Number of Known Judgment/Lien Events: 1
• Number of Known Termination Events: 2
• Can Kevin Kane Be Sued: Yes, in Private Arbitration
• Can Kevin Kane’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $68,914
• Highest Settlement: $3,809.59

If you have suffered investment losses by Kevin Kane, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Kevin Kane For Broker Misconduct

As of this publication date, Kevin Kane has been the subject of 1 civil event, 1 investigation, 2 termination events, 2 financial events, 1 judgment/lien event, and 4 customer complaints. Let’s review them below.

In March 2023, Cambridge Investment Research, Inc. terminated Kevin Kane after the firm learned that he and a family member “repeatedly defrauded and breached their fiduciary duty” to clients.

In March 2023, United States Securities and Exchange Commission initiated a civil event against or in reference to Kevin Kane for violating the firm’s policies and procedures. Mr. Kane also defrauded and breached his fiduciary duty to clients and violated the anti-fraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.d.

In March 2023, United States Securities and Exchange Commission initiated an investigation against or in reference to Kevin Kane for violating the firm’s policies and procedures. Mr. Kane also defrauded and breached his fiduciary duty to clients and violated the anti-fraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.d.

In February 2021, Waddell & Reed terminated Kevin Kane for violation of multiple firm policies including outside business activities, communications with the public and client/data privacy.

In February 2021, Kevin Kane filed for bankruptcy in the Bankruptcy Court, PA.

In September 2017, Kevin Kane filed for bankruptcy in the Middle District of Pennsylvania.

In March 2017, Kevin Kane was the subject of a civil judgment or lien in the amount of $18,593.94. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In December 2008, a complaint was filed against or in reference to Kevin Kane by a customer of Citigroup Global Markets Inc. alleging that Mr. Kane failed to follow instructions to put all monies in cash funds but invested in bond funds and money markets.

In February 2003, a complaint was filed against or in reference to Kevin Kane by a customer of Salomon Smith Barney alleging unsuitable investments. Per the customer, he/she lost over $21,553.96 because of Mr. Kane’s actions.

In November 2001, a complaint was filed against or in reference to Kevin Kane by a customer of Salomon Smith Barney alleging that he was misled because the Mr. Kane did not follow his original proposal for the allocation of the client’s 401(k) – April 2000 through October 2001. On November 15, 2001, Mr. Kane settled the claim for $3,809.59.

In July 2001, a complaint was filed against or in reference to Kevin Kane by a customer of Salomon Smith Barney alleging unauthorized trading, failure to follow instructions, and misrepresentation. Per the customer, he/she lost over $68,914 because of Mr. Kane’s actions.

How To File A Claim Against Kevin Kane (previously with Cambridge Investment Research, Inc., Waddell & Reed, and Wells Fargo Advisors, LLC) To Get Your Money Back

If you have questions about Kevin Kane, Cambridge Investment Research, Inc., Waddell & Reed, Wells Fargo Advisors, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Archie Blood Jr?

Filed: March 12, 2024

Archie Blood Jr (also known as Bud Blood) has been the subject of one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Archie Abel Blood Jr.

Who Is Archie Abel Blood Jr?

• Advisor Name: Archie Abel Blood Jr
• Aliases: Bud Blood
• CRD: 1861277
• Location: Holland, Michigan
• Current Employer: Currently Not Registered
• Previous Firms: Cambridge Investment Research, Inc., CFD Investments, Inc., and Mutual Services Corporation
• Number of Known Regulatory Events: 1
• Can Archie Blood Jr Be Sued: Yes, in Private Arbitration
• Can Archie Blood Jr’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Archie Blood Jr, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Archie Blood Jr. For Broker Misconduct

As of this publication date, Archie Blood Jr has been the subject of 1 regulatory event. Let’s review it below.

In February 2023, FINRA initiated a regulatory action against or in reference to Archie Blood Jr for allegedly participating in private securities transactions by facilitating the sale of $400,000 of a security to two married couples who were customers of his member firm without providing prior written notice to the firm.

How To File A Claim Against Archie Blood Jr (previously with Cambridge Investment Research, Inc., CFD Investments, Inc., and Mutual Services Corporation) To Get Your Money Back

If you have questions about Archie Blood Jr, Cambridge Investment Research, Inc., CFD Investments, Inc., Mutual Services Corporation, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Kent Herring?

Filed: March 12, 2024

Kent Herring has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Kent Reaves Herring.

Who Is Kent Reaves Herring of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Kent Reaves Herring
• Aliases: Kent Herring
• CRD: 5417262
• Location: Gulf Breeze, Florida
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Voya Financial Advisors, Inc.
• Number of Known Customer Complaints: 1
• Can Kent Herring Be Sued: Yes, in Private Arbitration
• Can Kent Herring’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $750,000
• Highest Settlement: $27,500

If you have suffered investment losses by Kent Herring, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Kent Herring For Broker Misconduct

As of this publication date, Kent Herring has been the subject of 1 customer dispute. Let’s review it below.

In March 2023, a FINRA arbitration was filed against or in reference to Kent Herring by a customer of Voya Financial Advisors, Inc. alleging that Mr. Herring recommended an unsuitable strategy which involved high-commission, risky and complex products. Per the customer, he/she lost over $750,000 because of Mr. Herring’s actions. On March 5, 2024, Mr. Herring settled the claim for $27,500, and some or all of this amount may have been paid by Mr. Herring’s employer and/or insurance carrier.

How To File A Claim Against Kent Herring of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Voya Financial Advisors, Inc.) To Get Your Money Back

If you have questions about Kent Herring, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Voya Financial Advisors, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Leo Rosner?

Filed: March 4, 2024

Leo Rosner currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Leo Rosner.

Who Is Leo Rosner of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Leo Rosner
• Aliases: Leo Rosner
• CRD: 1011519
• Location: Beachwood, Ohio
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Sagepoint Financial, Inc.
• Number of Known Customer Complaints: 2
• Can Leo Rosner Be Sued: Yes, in Private Arbitration
• Can Leo Rosner’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $700,000
• Highest Settlement: Unknown

If you have suffered investment losses by Leo Rosner, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Leo Rosner For Broker Misconduct

As of this publication date, Leo Rosner has been the subject of 2 customer disputes. Let’s review them below.

In January 2024, a FINRA arbitration was filed against or in reference to Leo Rosner by multiple customers of Cambridge Investment Research, Inc. alleging that Mr. Rosner recommended an unsuitable investment. Claimants suggest the investment was misrepresented to them. Per the customers, they lost over $700,000 because of Mr. Rosner’s actions. As of this publication date, this claim remains pending.

In December 2013, a complaint was filed against or in reference to Leo Rosner by a customer of Cambridge Investment Research, Inc. alleging that Mr. Rosner over sold him the insurance policy and advised him to move from ING to Columbus Life which alleges Rosner then benefited 10k from the client. Per the customer, he lost over $10,000 because of Mr. Rosner’s actions.

How To File A Claim Against Leo Rosner of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Sagepoint Financial, Inc.) To Get Your Money Back

If you have questions about Leo Rosner, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Sagepoint Financial, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Kurt Cambier?

Filed: March 4, 2024

Kurt Cambier currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Kurt Douglas Cambier.

Who Is Kurt Douglas Cambier of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Kurt Douglas Cambier
• Aliases: Kurt Cambier
• CRD: 1392482
• Location: Littleton, Colorado
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Multi-financial Securities Corporation and MML Investors Services, Inc.
• Number of Known Customer Complaints: 2
• Can Kurt Cambier Be Sued: Yes, in Private Arbitration
• Can Kurt Cambier’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $125,000
• Highest Settlement: $67,500

If you have suffered investment losses by Kurt Cambier, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Kurt Cambier For Broker Misconduct

As of this publication date, Kurt Cambier has been the subject of 2 customer disputes. Let’s review them below.

In May 2023, a FINRA arbitration was filed against or in reference to Kurt Cambier by multiple customers of Cambridge Investment Research, Inc. alleging that an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio. As of this publication date, this claim remains pending.

In December 2021, a FINRA arbitration was filed against or in reference to Kurt Cambier by multiple customers of Cambridge Investment Research, Inc. alleging that Mr. Cambier recommended investments that were not suitable for the Claimants. Per the customers, they lost over $125,000 because of Mr. Cambier’s actions. On March 24, 2023, Mr. Cambier settled the claim for $67,500, and some or all of this amount may have been paid by Mr. Cambier’s employer and/or insurance carrier.

How To File A Claim Against Kurt Cambier of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Multi-financial Securities Corporation and MML Investors Services, Inc.) To Get Your Money Back

If you have questions about Kurt Cambier, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Multi-financial Securities Corporation, MML Investors Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Joe Hurley?

Filed: February 27, 2024

Joseph Hurley (also known as Joe Hurley) currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints and one (1) financial event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Joseph Lee Hurley.

Who Is Joseph Lee Hurley of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Joseph Lee Hurley
• Aliases: Joe Hurley
• CRD: 4499819
• Location: Battle Ground, Washington
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: AXA Advisors, LLC
• Number of Known Customer Complaints: 2
• Number of Known Financial Events: 1
• Can Joseph Hurley Be Sued: Yes, in Private Arbitration
• Can Joseph Hurley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Joseph Hurley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Joe Hurley For Broker Misconduct

As of this publication date, Joseph Hurley has been the subject of 2 customer disputes and 1 financial event. Let’s review them below.

In May 2023, a FINRA arbitration was filed against or in reference to Joseph Hurley by multiple customers of Cambridge Investment Research, Inc. alleging that an investment recommendation was made for the purpose of generating high commissions and fees and that claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio. As of this publication date, this claim remains pending.

In March 2018, Internal Revenue Service reported that Mr. Hurley had outstanding debt totaling $100,026.68. Mr. Hurley settled this matter in the amount of $15,296.

In August 2008, a complaint was filed against or in reference to Joseph Hurley by a customer of AXA Advisors alleging that the client transferred her 401K to AXA advisors based on Mr. Hurley’s recommendation that her money was guaranteed to grow 6%. The client further alleges that the agent informed her as an additional promotion she would also get a 4% increase on her account.

How To File A Claim Against Joe Hurley of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with AXA Advisors, LLC) To Get Your Money Back

If you have questions about Joseph Hurley, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., AXA Advisors, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Keith Offel?

Filed: February 15, 2024

Keith Offel has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Keith Harold Offel.

Who Is Keith Harold Offel of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Keith Harold Offel
• Aliases: Keith Offel
• CRD: 2570946
• Location: Placentia, California
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Newport Advisory, Inc. and Money Concepts Capital Corp
• Number of Known Customer Complaints: 3
• Can Keith Offel Be Sued: Yes, in Private Arbitration
• Can Keith Offel’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $495,471
• Highest Settlement: $150,000

If you have suffered investment losses by Keith Offel, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Keith Offel For Broker Misconduct

As of this publication date, Keith Offel has been the subject of 3 customer disputes. Let’s review them below.

In September 2023, a complaint was filed against or in reference to Keith Offel by a customer of Cambridge Investment Research, Inc. alleging that the client requested a conservative investment objective. The client also alleges that Mr. Offel failed to follow the stated objectives resulting in significant loss. Per the customer, he lost over $70,224 because of Mr. Offel’s actions.

In July 2012, a complaint was filed against or in reference to Keith Offel by multiple customers of Cambridge Investment Research, Inc. alleging that they were misled relating to an investment in proof gold coins. The clients believe the advisor was negligent in providing the details about the investment and breached his fiduciary duty. Per the customers, they lost over $5,000 because of Mr. Offel’s actions.

In May 2004, a NASD arbitration was filed against or in reference to Keith Offel by a customer of Money Concepts Capital Corp alleging unsuitability, negligence, and breach of fiduciary duty. Per the customer, he/she lost over $495,471 because of Mr. Offel’s actions. On April 30, 2005, Mr. Offel settled the claim for $150,000, and some or all of this amount may have been paid by Mr. Offel’s employer and/or insurance carrier.

How To File A Claim Against Keith Offel of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Newport Advisory, Inc. and Money Concepts Capital Corp) To Get Your Money Back

If you have questions about Keith Offel, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Newport Advisory, Inc., Money Concepts Capital Corp, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Brian Dumont?

Filed: February 2, 2024

Brian Dumont currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Brian Stephen Dumont.

Who Is Brian Stephen Dumont?

• Advisor Name: Brian Stephen Dumont
• Aliases: Brian Dumont
• CRD: 4737802
• Location: New York, New York
• Current Employer: Currently Not Registered
• Previous Firms: Cambridge Investment Research, Inc., Metlife Securities Inc., and Metropolitan Life Insurance Company
• Number of Known Customer Complaints: 2
• Can Brian Dumont Be Sued: Yes, in Private Arbitration
• Can Brian Dumont’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $500,000
• Highest Settlement: Unknown

If you have suffered investment losses by Brian Dumont, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Brian Dumont For Broker Misconduct

As of this publication date, Brian Dumont has been the subject of 1 customer dispute. Let’s review it below.

In October 2023, a FINRA arbitration was filed against or in reference to Brian Dumont by a customer of Cambridge Investment Research, Inc. alleging that Mr. Dumont recommended an unsuitable investment. The claimant suggests that Mr. Dumont failed to provide adequate guidance. Per the customer, he/she lost over $500,000 because of Mr. Dumont’s actions. As of this publication date, this claim remains pending.

In November 2016, a complaint was filed against or in reference to Brian Dumont by a customer of Cambridge Investment Research, Inc. alleging that the client’s annuity has been unsatisfactory and alleges the annuity was unsuitable for her investment needs.

How To File A Claim Against Brian Dumont (previously with Cambridge Investment Research, Inc., Metlife Securities Inc., and Metropolitan Life Insurance Company) To Get Your Money Back

If you have questions about Brian Dumont, Cambridge Investment Research, Inc., Metlife Securities Inc., Metropolitan Life Insurance Company, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.