Category: Cambridge Investment Research

Did You Lose Money Because of David White?

Filed: October 25, 2023

Dave White (also known as David Jonathan White) 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 David Jonathan White.

Who Is David Jonathan White of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: David Jonathan White
• Aliases: Dave White
• CRD: 2606002
• Location: Salt Lake City, Utah
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: First Western Advisors and Securities America, Inc.
• Number of Known Customer Complaints: 2
• Can David White Be Sued: Yes, in Private Arbitration
• Can David White’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $80,686
• Highest Settlement: $25,000

If you have suffered investment losses by David White, 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 David White For Broker Misconduct

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

In October 2020, a complaint was filed against or in reference to David White by multiple customers of Cambridge Investment Research, Inc. alleging that Mr. White failed to liquidate the clients’ accounts after receiving express instruction. The failure to liquidate the accounts allegedly resulted in losses to the clients. Per the customers, they lost over $80,686 due to Mr. White’s actions. On November 19, 2020, Mr. White settled the claim for $25,000, and some or all of this amount may have been paid by Mr. White’s employer and/or insurance carrier.

In November 2013, a complaint was filed against or in reference to David White by a customer of Cambridge Investments alleging that an investment in preferred stock was unsuitable due to a subsequent bankruptcy filing. Per the customer, he/she lost over $23,400 due to Mr. White’s actions.

How To File A Claim Against David White of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with First Western Advisors and Securities America, Inc.) To Get Your Money Back.

If you have questions about David White, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., First Western Advisors, Securities 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 David Melilli (previously with Cambridge Investment Research)?

Filed: October 25, 2023

David Melilli currently has been the subject of one (1) termination event, three (3) regulatory events, one (1) financial 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 David John Melilli.

Who Is David John Melilli?

• Advisor Name: David John Melilli
• Aliases: David Melilli
• CRD: 5254172
• Location: Moorestown, New Jersey
• Current Employer: No Longer Allowed to Practice in the Securities Industry
• Previous Firms: Cambridge Investment Research, Inc., Sagepoint Financial, Inc., and LPL Financial LLC
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 3
• Number of Known Termination Events: 1
• Number of Known Financial Events: 1
• Can David Melilli Be Sued: Yes, in Private Arbitration
• Can David Melilli’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $140,000
• Highest Settlement: $336,984.13

If you have suffered investment losses by David Melilli, 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 David Melilli For Broker Misconduct

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

In November 2022, New Jersey Bureau of Securities initiated a regulatory action against or in reference to David Melilli for being the subject of an order of a self-regulatory organization, expelling Mr. Melilli from a self-regulatory organization.

In July 2022, FINRA initiated a regulatory action against or in reference to David Melilli for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

In November 2021, FINRA initiated a regulatory action against or in reference to David Melill. Without admitting or denying the findings, Mr. Melilli consented to the sanction and to the entry of findings that he refused to produce documents and information requested by FINRA in connection with its investigation into, among other things, whether he exercised discretion without written authorization in a client’s account.

In September 2020, a complaint was filed against or in reference to David Melilli by multiple customers of Sagepoint Financial, Inc. alleging that Mr. Melilli was involved in unauthorized trading. Per the customers, they lost over $5,000 because of Mr. Melilli’s actions On April 23, 2022, Mr. Melilli settled the claim for $150,000, and some or all of this amount may have been paid by Mr. Melilli’s employer and/or insurance carrier.

In September 2020, a complaint was filed against or in reference to David Melilli by a customer of Cambridge Investment Research, Inc. alleging that Mr. Melilli made risky investments that were not fully understood. Additionally, the client has concerns that management fees may not have been assessed correctly and is unsure if all of his accounts transferred to and from the firm.

In February 2020, a FINRA arbitration was filed against or in reference to David Melilli by a customer of Sagepoint Financial, Inc. alleging that Mr. Melilli was involved in unauthorized trading, breach of fiduciary duty, unsuitability, negligence, common law fraud, and 10(b) violation and churning. Per the customer, he/she lost over $140,000 because of Mr. Melilli’s actions On March 31, 2022, Mr. Melilli settled the claim for $336,984.13, and some or all of this amount may have been paid by Mr. Melilli’s employer and/or insurance carrier.

In January 2020, Cambridge Investment Research, Inc. terminated Mr. Melilli for placing discretionary trades without authority.

In May 2019, TD Ameritrade reported that Mr. Melilli owed $2,673.  Mr. Melilli settled this and paid the creditor $1,872.

How To File A Claim Against David Melilli (previously with Cambridge Investment Research, Inc., Sagepoint Financial, Inc., and LPL Financial LLC) To Get Your Money Back.

If you have questions about David Melilli, Cambridge Investment Research, Inc., Sagepoint Financial, Inc., LPL Financial 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 David Llewellyn?

Filed: October 25, 2023

David Llewellyn 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 David J Llewellyn.

Who Is David Llewellyn of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: David J Llewellyn
• Aliases: David Llewellyn
• CRD: 5288989
• Location: DeLand, Florida
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Edward Jones
• Number of Known Customer Complaints: 1
• Can David Llewellyn Be Sued: Yes, in Private Arbitration
• Can David Llewellyn’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $216,000
• Highest Settlement: $10,000

If you have suffered investment losses by David Llewellyn, 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 David Llewellyn For Broker Misconduct

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

In September 2020, a FINRA arbitration was filed against or in reference to David Llewellyn by a customer of Cambridge Investment Research, Inc. alleging misrepresentation and unsuitable investment. Per the customer, he/she lost over $216,000 due to Mr. Llewellyn’s actions. On November 12, 2021, Mr. Llewellyn settled the claim for $10,000, and some or all of this amount may have been paid by Mr. Llewellyn’s employer and/or insurance carrier.

How To File A Claim Against David Llewellyn of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Edward Jones) To Get Your Money Back.

If you have questions about David Llewellyn, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Edward Jones, 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 Cyrus Dhatigara?

Filed: October 25, 2023

Cyrus Dhatigara (also known as Cyrus F Dhatigara) 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 Cyrus F Dhatigara.

Who Is Cyrus F Dhatigara?

• Advisor Name: Cyrus F Dhatigara
• Aliases: Cyrus Dhatigara
• CRD: 2241720
• Location: Cincinnati, Ohio
• Current Employer: Currently not Registered
• Previous Firms: Cambridge Investment Research, Inc. and New England Securities
• Number of Known Customer Complaints: 1
• Can Cyrus Dhatigara Be Sued: Yes, in Private Arbitration
• Can Cyrus Dhatigara’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: $5,049

If you have suffered investment losses by Cyrus Dhatigara, 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 Cyrus Dhatigara For Broker Misconduct

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

In February 2020, a complaint was filed against or in reference to Cyrus Dhatigara by a customer of Cambridge Investment Research, Inc.  A Power of Attorney requested a transfer of $170,000 for a client’s outstanding tax bills that was not completed for nearly two months.  On June 24, 2020, Mr. Dhatigara settled the claim for $5,049.

How To File A Claim Against Cyrus Dhatigara (previously with Cambridge Investment Research, Inc. and New England Securities) To Get Your Money Back.

If you have questions about Cyrus Dhatigara, Cambridge Investment Research, Inc., New England 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 Curtis Harris?

Filed: October 25, 2023

Curtis Harris has been the subject of one (1) termination 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 Curtis Dean Harris.

Who Is Curtis Dean Harris of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Curtis Dean Harris
• Aliases: Curtis Harris
• CRD: 2628896
• Location: Dallas, Texas
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: MML Investors Services, Inc. and HFG Advisors, L.L.C.
• Number of Known Customer Complaints: 2
• Number of Known Termination Events: 1
• Can Curtis Harris Be Sued: Yes, in Private Arbitration
• Can Curtis Harris’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $175,000
• Highest Settlement: $14,500

If you have suffered investment losses by Curtis Harris, 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 Curtis Harris For Broker Misconduct

As of this publication date, Curtis Harris has been the subject of 1 termination event and 2 customer disputes. Let’s review them below.

In December 2020, a FINRA arbitration was filed against or in reference to Curtis Harris by a customer of Cambridge Investment Research, Inc. alleging that Mr. Harris misrepresented alternative investments and failed to disclose the risks associated with the claimant. Per the customer, he/she lost over $175,000 due to Mr. Harris’s actions. On August 18, 2021, Mr. Harris settled the claim for $14,500, and some or all of this amount may have been paid by Mr. Harris’s employer and/or insurance carrier

In October 2008, MML Investors Services, Inc. terminated Mr. Harris for unauthorized trading.

In October 2001, a complaint was filed against or in reference to Curtis Harris by a customer of MML Investors Services, Inc.

How To File A Claim Against Curtis Harris of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with MML Investors Services, Inc. and HFG Advisors, L.L.C.) To Get Your Money Back.

If you have questions about Curtis Harris, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., MML Investors Services, Inc., and HFG Advisors, L.L.C., 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 Carolyn Valentine?

Filed: October 25, 2023

Carolyn Degirolamo (also known as Carolyn Valentine) currently has one (1) pending customer dispute. Overall, she 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 Carolyn Valentine.

Who Is Carolyn Valentine of Cambridge Investment Research, Inc.?

• Advisor Name: Carolyn Valentine
• Aliases: Carolyn Degirolamo
• CRD: 2532412
• Location: Canton, Ohio
• Current Employer: Cambridge Investment Research, Inc.
• Previous Firms: H. Beck, Inc. and Franklin Financial Services Corporation
• Number of Known Customer Complaints: 1
• Can Carolyn Valentine Be Sued: Yes, in Private Arbitration
• Can Carolyn Valentine’s Employers Be Sued For Failing to Supervise Her Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $471,746
• Highest Settlement: Unknown

If you have suffered investment losses by Carolyn Valentine, 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 Carolyn Valentine For Broker Misconduct

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

In March 2020, a FINRA arbitration was filed against or in reference to Carolyn Valentine by multiple customers of H. Beck, Inc. alleging unsuitability, breach of fiduciary duty, and negligence. Per the customers, they lost over $471,746 due to Ms. Valentine’s actions. As of this publication date, this arbitration remains pending.

How To File A Claim Against Carolyn Valentine of Cambridge Investment Research, Inc. (previously with H. Beck, Inc. and Franklin Financial Services Corporation) To Get Your Money Back.

If you have questions about Carolyn Valentine, Cambridge Investment Research, Inc., H. Beck, Inc., Franklin Financial 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 Brian Hooks?

Filed: October 25, 2023

Brian Hooks currently has one (1) pending customer complaint. Overall he 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 Brian Nicholas Hooks.

Who Is Brian Nicholas Hooks?

• Advisor Name: Brian Nicholas Hooks
• Aliases: Brian Hooks
• CRD: 5557918
• Location: Gulf Breeze, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Cambridge Investment Research, Inc.
• Number of Known Customer Complaints: 1
• Can Brian Hooks Be Sued: Yes, in Private Arbitration
• Can Brian Hooks’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $750,000
• Highest Settlement: Unknown

If you have suffered investment losses by Brian Hooks, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a margin call liquidations 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 Hooks For Broker Misconduct

As of this publication date, Brian Hooks 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 Brian Hooks by a customer of Voya Financial Advisors, Inc. alleging that Mr. Hooks recommended an unsuitable investment strategy that included illiquid and complex insurance products. Per the customer, he/she lost over $750,000 due to Mr. Hooks’s actions. As of this publication date, this arbitration remains pending.

How To File A Claim Against Brian Hooks (previously with Cambridge Investment Research, Inc.) To Get Your Money Back.

If you have questions about Brian Hooks, Cambridge Investment Research, 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 Jim Joly of Cambridge Investment Research?

Filed: October 25, 2023

Jim Joly (also known as James Ernest Joly) currently has two (2) pending judgment/lien events. Overall, he has been the subject of (2) judgment/lien events, one (1) termination event, and five (5) 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 James Ernest Joly.

Who Is James Ernest Joly of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: James Ernest Joly
• Aliases: Jim Joly
• CRD: 2193463
• Location: East Greenwich, Rhode Island
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: Cantella & Co., Inc. and Voya Financial Advisors, Inc.
• Number of Known Customer Complaints: 5
• Number of Known Termination Events: 1
• Number of Known Judgment/Lien Events: 2
• Can James Joly Be Sued: Yes, in Private Arbitration
• Can James Joly’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $800,000
• Highest Settlement: $87,500

If you have suffered investment losses by Jim Joly, 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 Jim Joly For Broker Misconduct

As of this publication date, James Joly has been the subject of 2, judgment/lien events, 1 termination event, and 5 customer disputes. Let’s review them below.

In February 2023, James Joly was the subject of a civil judgment or lien in the amount of $58,339. 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. As of this publication date, this event remains pending.

In February 2023, James Joly was the subject of a civil judgment or lien in the amount of $114,068. 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. As of this publication date, this event remains pending.

In April 2020, a complaint was filed against or in reference to James Joly by a customer of Cantella & Co., Inc. alleging that Mr. Joly failed to consult with the client’s estate attorney and transferred assets to an annuity that resulted in tax implications for their trust. Per the customer, he/she lost over $13,000 due to Mr. Joly’s actions.

In June 2019, a complaint was filed against or in reference to James Joly by a customer of LPL Financial LLC  with allegations of suitability concerns resulting in a loss of over $5,000 on May 16, 2019. Per the customer, he/she lost over $84,687 due to Mr. Joly’s actions.

In May 2019, a complaint was filed against or in reference to James Joly by a customer of Cantella & Co., Inc. with allegations of suitability concerns resulting in a loss of over $5,000 on May 16, 2019. Per the customer, he/she lost over $84,687 due to Mr. Joly’s actions.

In July 2018, Voya Financial Advisors, Inc. terminated James Joly for maintaining blank client-signed documents and engaging in an unapproved outside business activity in violation of the Firm’s policies.

In September 2017, a complaint was filed against or in reference to James Joly by a customer of LPL Financial LLC alleging that Mr. Joly was involved in unsuitable investments and unauthorized transactions.

In August 2013, a complaint was filed against or in reference to James Joly by a customer of LPL Financial LLC alleging that Mr. Joly was involved in unsuitable investments in REITs.

In August 2012, a FINRA arbitration was filed against or in reference to James Joly by multiple customers of LPL Financial alleging that the customers’ 1031 Tenant-In-Common Investment, Reit Investments, High Yield Fund and Business Development Company Investment made in or about 2005-2006 were unsuitable. Per the customers, they lost over $800,000 due to Mr. Joly’s actions. On December 17, 2013, Mr. Joly settled the claim for $87,500 and some or all of this amount may have been paid by Mr. Joly’s employer and/or insurance carrier.

How To File A Claim Against Jim Joly of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with Cantella & Co., Inc. and Voya Financial Advisors, Inc.) To Get Your Money Back.

If you have questions about James Joly, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., Cantella & Co., 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 William Randall of Cambridge Investment Research (previously with LPL Financial)?

Filed: October 24, 2023

William Perry Randall currently 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 William Perry Randall.

Who Is William Perry Randall of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: William Perry Randall Mr.
• Aliases: W. Perry Randall, W. Randall, William Randall, Perry Randall
• CRD: 1392233
• Location: Rockford, Illinois
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: LPL Financial LLC and Wachovia Securities, LLC
• Number of Known Customer Complaints: 2
• Can William Randall Be Sued: Yes, in Private Arbitration
• Can William Randall’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $50,000
• Highest Settlement: $10,000

If you have suffered investment losses by William Randall, 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 William Randall For Broker Misconduct

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

In June 2020, a FINRA arbitration was filed against or in reference to William Randall by multiple customers of LPL Financial LLC alleging that Mr. Randall encouraged them to invest in two unsuitable investments, which caused them to sustain damages under theories of breach of fiduciary duty and breach of contract. Per the customers, they lost over $40,000 due to Mr. Randall’s actions. On March 10, 2021, Mr. Randall settled the claim for $10,000, and some or all of this amount may have been paid by Mr. Randall’s employer and/or insurance carrier.

In October 2001, a NASD-DR Case was filed against or in reference to William Randall by multiple customers of First Union Securities, Inc. alleging that Mr. Randall made unsuitable investments in their accounts and that the firm failed to adequately supervise the financial advisor. Per the customers, they lost over $50,000 due to Mr. Randall’s actions. On October 22, 2002, Mr. Randall settled the claim for $3,000, and some or all of this amount may have been paid by Mr. Randall’s employer and/or insurance carrier.

How To File A Claim Against William Randall of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with LPL Financial LLC and Wachovia Securities, LLC) To Get Your Money Back.

If you have questions about William Randall, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., LPL Financial LLC, Wachovia 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 Scott Ferguson of Cambridge Investment Research?

Filed: October 24, 2023

Scott Ferguson currently 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 Scott Edmund Ferguson.

Who Is Scott Edmund Ferguson of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.?

• Advisor Name: Scott Edmund Ferguson
• Aliases: Scott E Ferguson, Scott Edmond Ferguson, Scott Ferguson
• CRD: 4668142
• Location: Frederick, Maryland
• Current Employer: Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
• Previous Firms: FSC Securities Corporation and Morgan Stanley
• Number of Known Customer Complaints: 2
• Can Scott Ferguson Be Sued: Yes, in Private Arbitration
• Can Scott Ferguson’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: $37,500

If you have suffered investment losses by Scott Ferguson, 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 Scott Ferguson For Broker Misconduct

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

In December 2020, a FINRA arbitration was filed against or in reference to Scott Ferguson by a customer of FSC Securities Corporation alleging that Mr. Ferguson recommended an unsuitable alternative investment. Per the customer, he/she lost over $300,000 due to Mr. Ferguson’s actions. On October 12, 2021, Mr. Ferguson settled the claim for $37,500, and some or all of this amount may have been paid by Mr. Ferguson’s employer and/or insurance carrier.

In June 2019, a complaint was filed against or in reference to Scott Ferguson by a customer of FSC Securities Corporation alleging that Mr. misrepresented the 2013 purchase of a non-traded Business Development Company. Per the customer, he/she lost over $35,000 due to Mr. Ferguson’s actions.

How To File A Claim Against Scott Ferguson of Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (previously with FSC Securities Corporation and Morgan Stanley) To Get Your Money Back.

If you have questions about Scott Ferguson, Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., FSC Securities Corporation, Morgan Stanley, 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.