Category: Cambridge Investment Research

Did You Lose Money Because of Greg Koalska?

Filed: October 26, 2023

Greg Koalska has been the subject of two (2) regulatory events, one (1) termination event, two (2) financial events, and 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 Greg Scott Koalska.

Who Is Greg Scott Koalska of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Greg Scott Koalska
• Aliases: Greg Koalska
• CRD: 1578113
• Location: Green Bay, Wisconsin
• Current Employer: Currently Not Registered
• Previous Firms: KCD Financial, Inc., Investment Research, Inc., and FSC Securities Corporation
• Number of Known Customer Complaints: 1
• Number of Known Regulatory Events: 2
• Number of Known Termination Events: 1
• Number of Known Financial Events: 2
• Can Greg Koalska Be Sued: Yes, in Private Arbitration
• Can Greg Koalska’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation:
• Highest Settlement:

If you have suffered investment losses by Greg Koalska, 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 Greg Koalska For Broker Misconduct

As of this publication date, Greg Koalska has been the subject of 2 regulatory events, 1 termination event, 2 financial events, and 1 customer dispute. Let’s review them below.

In May 2020, Cambridge Investment Research, Inc. terminated Mr. Koalska for failing to disclose a reportable event to the Firm in violation of firm policy and, on more than one occasion. Mr. Koalska allegedly misrepresented his identity to a sponsor company representative.

In March 2020, The State of Minnesota Department of Commerce initiated a regulatory action against or in reference to Greg Koalska for using dishonest practices by impersonating a former client to an insurance company.

In April 2015, Citicard reported that Mr. Koalska had outstanding debt totaling $10,241.  Mr. Koalska settled this matter in the amount of $7,200.

In February 2016, JPMCB reported that Mr. Koalska had outstanding debt totaling $19,330.  Mr. Koalska settled this matter in the amount of $9,000.

In July 2003, Minnesota initiated a regulatory action against or in reference to Greg Koalska for allegedly contacting insurance call centers impersonating his clients and obtaining client information.

In September 2003, a complaint was filed against or in reference to Greg Koalska by a customer of FSC Securities Corporation alleging that Mr. Koalska did not reallocate the client’s investments which resulted in losses. Per the customer, he/she lost over $50,000 because of Mr. Koalska’s actions.

How To File A Claim Against Greg Koalska (previously with KCD Financial, Inc., Investment Research, Inc., and FSC Securities Corporation) To Get Your Money Back.

If you have questions about Greg Koalska, KCD Financial, Inc., Investment Research, Inc., and FSC Securities 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 Harold Hellen?

Filed: October 26, 2023

Harold Patrick Hellen 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 Harold Patrick Hellen.

Who Is Harold Patrick Hellen of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Harold Patrick Hellen
• Aliases: Harold Hellen
• CRD: 4495110
• Location: Dodgeville, Wisconsin
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Harbour Investments, Inc. and American General Securities Incorporated
• Number of Known Customer Complaints: 1
• Can Harold Hellen Be Sued: Yes, in Private Arbitration
• Can Harold Hellen’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Harold Hellen, 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 Harold Hellen For Broker Misconduct

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

In April 2020, a complaint was filed against or in reference to Harold Hellen by a customer of Cambridge Investment Research, Inc. alleging that Mr. Hellen made unsuitable allocations of the client’s account given the client’s stated needs and objectives.

How To File A Claim Against Harold Hellen of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Harbour Investments, Inc. and American General Securities Incorporated) To Get Your Money Back.

If you have questions about Harold Hellen, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Harbour Investments, Inc., American General Securities Incorporated, 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 Frank Snyder?

Filed: October 26, 2023

Frank Snyder IV 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 Frank Bennett Snyder IV.

Who Is Frank Bennett Snyder IV of Cambridge Investment Research, Inc., and Cambridge Investment Research Advisors, Inc.,?

• Advisor Name: Frank Bennett Snyder IV
• Aliases: Frank Snyder, Frank Snyder IV
• CRD: 3120216
• Location: Greenville, Illinois
• Current Employer: Cambridge Investment Research, Inc., and Cambridge Investment Research Advisors, Inc.,
• Previous Firms: Transamerica Financial Advisors, Inc. and Pan-American Financial Advisers
• Number of Known Customer Complaints: 1
• Can Frank Snyder IV Be Sued: Yes, in Private Arbitration
• Can Frank Snyder IV’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $125,000
• Highest Settlement: $56,500

If you have suffered investment losses by Frank Snyder IV, 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 Frank Snyder IV For Broker Misconduct

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

In January 2022, a FINRA arbitration was filed against or in reference to Frank Snyder IV by a customer of Transamerica Financial Advisors, Inc. alleging that Mr. Snyder IV recommended significant concentrations of non-conventional investments. Per the customer, he/she lost over $125,000 because of Mr. Snyder IV’s actions. On February 27, 2023, Mr. Snyder IV settled the claim for $46,500, and some or all of this amount may have been paid by Mr. Snyder IV’s employer and/or insurance carrier.

In January 2022, a FINRA arbitration was filed against or in reference to Frank Snyder IV by a customer of Cambridge Investment Research, Inc. alleging that Mr. Snyder IV recommended significant concentrations of non-conventional investments. Per the customer, he/she lost over $125,000 because of Mr. Snyder IV’s actions. On March 15, 2023, Mr. Snyder IV settled the claim for $56,500, and some or all of this amount may have been paid by Mr. Snyder IV’s employer and/or insurance carrier.

How To File A Claim Against Frank Snyder IV of Cambridge Investment Research, Inc., and Cambridge Investment Research Advisors, Inc., (previously with Transamerica Financial Advisors, Inc. and Pan-American Financial Advisers) To Get Your Money Back.

If you have questions about Frank Snyder IV, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Transamerica Financial Advisors, Inc., Pan-American Financial Advisers, 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 Eric Wegner?

Filed: October 25, 2023

Eric Wegner 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 Eric Edward Wegner.

Who Is Eric Edward Wegner of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Eric Edward Wegner
• Aliases: Eric Wegner
• CRD: 2044977
• Location: Delafield, Wisconsin
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Capstone Advisory Group LLC, Meric Capital Management, LLC, and SPC
• Number of Known Customer Complaints: 3
• Can Eric Wegner Be Sued: Yes, in Private Arbitration
• Can Eric Wegner’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,000,000
• Highest Settlement: $302,500

If you have suffered investment losses by Eric Wegner, 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 Eric Wegner For Broker Misconduct

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

In March 2020, a FINRA arbitration was filed against or in reference to Eric Wegner by a customer of Parkland Securities, LLC f.k.a. Sammons Securities Company alleging that Mr. Wegner misrepresented, omitted material facts, and was negligent in connection with the TIC investment purchased in 2008. On September 2, 2021, Mr. Wegner settled the claim for $48,250 and some or all of this amount may have been paid by Mr. Wegner’s employer and/or insurance carrier

In August 2013, a FINRA arbitration was filed against or in reference to Eric Wegner by a customer of Sammons Securities Company alleging that Mr. Wegner misrepresented, omitted material facts, breach of fiduciary duty, and was negligent in connection with the TIC investments purchased in 2005. Per the customer, he/she lost over $1,000,000 due to Mr. Wegner’s actions. On January 15, 2015, Mr. Wegner settled the claim for $295,000, and some or all of this amount may have been paid by Mr. Wegner’s employer and/or insurance carrier

In January 2011, a FINRA arbitration was filed against or in reference to Eric Wegner by a customer of Sammons Securities alleging that Mr. Wegner sold inappropriate or unsuitable products in 2004-2005. Per the customer, he/she lost over $808,699 due to Mr. Wegner’s actions. On January 18, 2012, Mr. Wegner settled the claim for $302,500, and some or all of this amount may have been paid by Mr. Wegner’s employer and/or insurance carrier

How To File A Claim Against Eric Wegner of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Capstone Advisory Group LLC, Meric Capital Management, LLC, and SPC) To Get Your Money Back.

If you have questions about Eric Wegner, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Capstone Advisory Group LLC, Meric Capital Management, LLC, SPC, 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 Erin Willis?

Filed: October 25, 2023

Erin Willis Gay (also known as Erin Gay Willis) has been the subject of one (1) criminal event and 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 Erin Gay Willis.

Who Is Erin Gay Willis of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Erin Gay Willis
• Aliases: Erin Willis Gay, Erin Gay
• CRD: 2406860
• Location: Annapolis, Maryland
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: LPL Financial LLC and Raymond James Financial Services Advisors, Inc..
• Number of Known Customer Complaints: 2
• Number of Known Criminal Events: 1
• Can Erin Willis Be Sued: Yes, in Private Arbitration
• Can Erin Willis’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $134,045.32
• Highest Settlement: Unknown

If you have suffered investment losses by Erin Willis, 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 Erin Willis For Broker Misconduct

As of this publication date, Erin Willis has been the subject of 1 criminal event and 2 customer disputes. Let’s review them below.

In January 2020, a complaint was filed against or in reference to Erin Willis by a customer of Legacy Financial alleging that Mr. Willis did no investment action for the client’s account from June 2014 through June 2015. Additionally, the client alleges that Mr. Willis expressed that their account would perform better than it did. Per the customer, he/she lost over $55,658,08 due to Mr. Willis’s actions.

In March 2015, a complaint was filed against or in reference to Erin Willis by a customer of LPL Financial LLC alleging that Mr. Willis failed to invest the customer’s assets in correlation to her investment objectives. The client also alleges that Mr. Willis made changes within her account without her consent. Per the customer, she lost over $134,045.32 due to Mr. Willis’s actions.

In January 1999, Fairfax County District Court charged Erin Willis with a misdemeanor petit larceny.

How To File A Claim Against Erin Willis of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with LPL Financial LLC and Raymond James Financial Services Advisors, Inc.) To Get Your Money Back.

If you have questions about Erin Willis, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., LPL Financial LLC, Raymond James Financial Services 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 Don Kowalsky?

Filed: October 26, 2023

Don Kowalsky currently has one (1) pending customer complaint. Overall, he has been the subject of 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 Donald Morris Kowalsky.

Who Is Donald Morris Kowalsky of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Donald Morris Kowalsky
• Aliases: Don Kowalsky, Donald Kowalsky
• CRD: 274546
• Location: Atlanta, Georgia
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Questar Asset Management, Inc., Questar Capital Corporation, Symetra Investment Services, Inc.
• Number of Known Customer Complaints: 4
• Can Donald Kowalsky Be Sued: Yes, in Private Arbitration
• Can Donald Kowalsky’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $150,000
• Highest Settlement: $50,000

If you have suffered investment losses by Donald Kowalsky, 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 Don Kowalsky For Broker Misconduct

As of this publication date, Don Kowalsky has been the subject of 4 customer disputes. Let’s review them below.

In December 2021, a complaint was filed against or in reference to Don Kowalsky by a customer of Questar Capital Corporation alleging that Mr. Kowalsky made unsuitable recommendations of illiquid and risky REITS. Per the customer, he/she lost over $52,000 because of Mr. Kowalsky’s actions. As of this publication date, this claim remains pending.

In October 2014, a FINRA arbitration was filed against or in reference to Don Kowalsky by a customer of Questar Capital Corporation alleging that Mr. Kowalsky violated common law fraud. The client also added allegations of breach of fiduciary duty, failure to supervise, negligence, in the sale of $114,449 DBSI 2008 notes on 04/07/2008. Per the customer, he/she lost over $150,000 because of Mr’ Kowalsky’s actions. On February 3, 2015, Mr. Kowalsky settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Kowalsky’s employer and/or insurance carrier.

In July 2014, a FINRA arbitration was filed against or in reference to Don Kowalsky by a customer of Questar Capital Corporation with allegations of failure to perform due diligence, failure to supervise, common law fraud, breach of fiduciary duty, negligence in the sale of $103,010 DBSI 2008 notes on 7/10/2008.

In October 2013, a FINRA arbitration was filed against or in reference to Don Kowalsky by a customer of Questar Capital Corporation with allegations of breach of contract, breach of fiduciary duty, failure to supervise, negligence and gross negligence, misrepresentations and omissions, violations of FINRA rules, and Georgia and Federal Securities Laws in the sale of $60,000 DBSI Cavanaugh II, LLC on 12/10/2007 and $25,000 DBSI 2008 notes on 3/3/2008. Per the customer, he/she lost over $85,000 because of Mr’ Kowalsky’s actions. On February 26, 2014, Mr. Kowalsky settled the claim for $37,500, and some or all of this amount may have been paid by Mr. Kowalsky’s employer and/or insurance carrier.

How To File A Claim Against Donald Kowalsky of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Questar Asset Management, Inc., Questar Capital Corporation, Symetra Investment Services, Inc.) To Get Your Money Back.

If you have questions about Donald Kowalsky, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Questar Asset Management, Inc., Questar Capital Corporation, Symetra Investment 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 Derek Coffren?

Filed: October 25, 2023

Derek Samuel Coffren has been the subject of one (1) criminal event and 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 Derek Samuel Coffren.

Who Is Derek Samuel Coffren of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Derek Samuel Coffren
• Aliases: Derek Coffren
• CRD: 6474765
• Location: Fort Mill, South Carolina
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Ameritas Investment Corp and CCF Investments, Inc.
• Number of Known Customer Complaints: 1
• Number of Known Criminal Events: 1
• Can Derek Coffren Be Sued: Yes, in Private Arbitration
• Can Derek Coffren’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $3,381.53
• Highest Settlement: Unknown

If you have suffered investment losses by Derek Coffren, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise 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 Derek Coffren For Broker Misconduct

As of this publication date, Derek Coffren has been the subject of 1 criminal event and 1 customer dispute. Let’s review them below.

In September 2019, a complaint was filed against or in reference to Derek Coffren by a customer of Cambridge Investment Research, Inc. alleging that Mr. Coffren did not follow through with requests in a timely manner. The client added that Mr. Coffren continued to charge management fees after the relationship was terminated. Per the customer, he/she lost over $3,381.53 due to Mr. Coffren’s actions.

In March 2000, Mecklenburg County District Court charged Mr. Coffren of a misdemeanor related to unauthorized use of a motor vehicle.

How To File A Claim Against Derek Coffren of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Ameritas Investment Corp and CCF Investments, Inc.) To Get Your Money Back.

If you have questions about Derek Coffren, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Ameritas Investment Corp, CCF Investments, 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 Diane Weyrick?

Filed: October 25, 2023

Diane Lynn Moen (also known as Diane Lynn Weyrick) 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 Diane Moen Weyrick.

Who Is Diane Moen Weyrick of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Diane Moen Weyrick
• Aliases: Diane Lynn Moen, Diane Lynn Weyrick
• CRD: 2033499
• Location: Northfield, Minnesota
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: SCF Investment Advisors, Inc., SCF Securities, Inc., and Investment Centers of America, Inc.
• Number of Known Customer Complaints: 1
• Can Diane Weyrick Be Sued: Yes, in Private Arbitration
• Can Diane Weyrick’s Employers Be Sued For Failing to Supervise Her Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Diane Weyrick, 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 Diane Weyrick For Broker Misconduct

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

In October 2019, a complaint was filed against or in reference to Diane Weyrick by a customer of Investment Centers of America alleging that Ms. Weyrick sold/recommended unsuitable investments.

How To File A Claim Against Diane Weyrick of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with SCF Investment Advisors, Inc., SCF Securities, Inc., and Investment Centers of America, Inc.) To Get Your Money Back.

If you have questions about Diane Weyrick, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., SCF Investment Advisors, Inc., SCF Securities, Inc., Investment Centers of America, 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 Charles McInnis?

Filed: October 26, 2023

Charles McInnis has been the subject of three (3) regulatory events, one (1) termination event, and 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 Charles Mitchell McInnis.

Who Is Charles Mitchell McInnis?

• Advisor Name: Charles Mitchell McInnis
• Aliases: Charles McInnis
• CRD: 1321666
• Location: Miami, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Client One Securities LLC, Cambridge Investment Research, Inc., and CP Capital Securities
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 3
• Number of Known Termination Events: 1
• Can Charles McInnis Be Sued: Yes, in Private Arbitration
• Can Charles McInnis’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $500,000
• Highest Settlement: $22,500

If you have suffered investment losses by Charles McInnis, 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 Charles McInnis For Broker Misconduct

As of this publication date, Charles McInnis has been the subject of 3 regulatory events, 1 termination event, and 3 customer disputes. Let’s review them below.

In April 2016, FINRA initiated a regulatory action against or in reference to Charles McInnis. Without admitting or denying the findings, McInnis consented to the sanction and to the entry of findings that in his capacity as a supervisory principal of his member firm, he failed to understand the specific requirements of two exemptions from registration applicable for a minimum contingency private placement offering of senior secured notes issued by a Columbian energy company that his firm acted as the co-placement agent for. The findings stated that McInnis also failed to ensure that firm customer purchases of notes complied with the requirements of either of the exemptions. Additionally, McInnis failed to monitor investments in the offering to determine if the $5,000,000 minimum contingency was met prior to proceeds being transmitted to the issuer.

In March 2016, Cambridge Investment Research permitted Charles McInnis to resign due to ongoing FINRA matters related to supervisory events which occurred at the previous firm.

In May 2001, Fluoride Division of Securities initiated a regulatory action against or in reference to Charles McInnis for failing to properly supervise.

In June 1997, a NASD arbitration was filed against or in reference to Charles McInnis by a customer of Paragon Capital Corporation with allegations including suitability, churning, breach of fiduciary duty, and account-related negligence. Per the customer, he/she lost over $500,000 because of Mr. McInnis’s actions. On October 7, 1999, Mr. McInnis settled the claim for $9,500, and some or all of this amount may have been paid by Mr. McInnis’s employer and/or insurance carrier.

In March 1997, National Association of Securities Dealers, Inc. initiated a regulatory action against or in reference to Charles McInnis.

In January 1997, a NASD arbitration was filed against or in reference to Charles McInnis by a customer of The Partners Financial Group, Inc. with allegations including misrepresentation, breach of fiduciary duty, omission of facts, and suitability concerns. Per the customer, he/she lost over $73,000 because of Mr. McInnis’s actions. On October 9, 1998, Mr. McInnis settled the claim for $22,500, and some or all of this amount may have been paid by Mr. McInnis’s employer and/or insurance carrier.

In March 1995, a complaint was filed against or in reference to Charles McInnis by a customer of Paragon Capital Corporation with allegations including suitability, churning, breach of fiduciary duty, and account-related breach of contract. Per the customer, he/she lost over $50,000 because of Mr. McInnis’s actions. On January, 1996, Mr. McInnis settled the claim for $15,750, and some or all of this amount may have been paid by Mr. McInnis’s employer and/or insurance carrier.

How To File A Claim Against Charles McInnis (previously with Client One Securities LLC, Cambridge Investment Research, Inc., and CP Capital Securities) To Get Your Money Back.

If you have questions about Charles McInnis, Client One Securities LLC, Cambridge Investment Research, Inc., CP Capital Securities, 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 Deborah Birch?

Filed: October 26, 2023

Deborah Ann Miller (also known as Deborah Ann Birch and Deborah Ann Wyckoff) 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 Deborah Ann Birch.

Who Is Deborah Ann Birch of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Deborah Ann Birch
• Aliases: Deborah Ann Miller, Deborah Ann Wyckoff
• CRD: 4043371
• Location: Glenwood Springs, Colorado
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Avantax Advisory Services, Avantax Investment Services, Inc., and H&R Block Financial Advisors, Inc.
• Number of Known Customer Complaints: 1
• Can Deborah Birch Be Sued: Yes, in Private Arbitration
• Can Deborah Birch’s Employers Be Sued For Failing to Supervise Her Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $200,000
• Highest Settlement: $100,000

If you have suffered investment losses by Deborah Birch, 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 Deborah Birch For Broker Misconduct

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

In May 2023, a complaint was filed against or in reference to Deborah Birch by a customer of Avantax Investment Services, Inc. alleging that Ms. Birch sold misrepresented and unsuitable investment to the client. Per the customer, she lost over $200,000 due to Ms. Birch’s actions. On September 14, 2023, Ms. Birch settled the claim for $100,000, and some or all of this amount may have been paid by Ms. Birch’s employer and/or insurance carrier.

How To File A Claim Against Deborah Birch of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Avantax Advisory Services, Avantax Investment Services, Inc., and H&R Block Financial Advisors, Inc.) To Get Your Money Back.

If you have questions about Deborah Birch, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Avantax Advisory Services, Avantax Investment Services, Inc., H&R Block 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.