Cambridge Investment Research Archives

Robert Rex, Esq.
September 1, 2023

Rex Securities Law Investment Fraud Attorney Investigates John Brian Lee with Cambridge Investment Research

Rex Securities Law Investment Fraud Attorney Investigates John Brian Lee with Cambridge Investment Research https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 1, 2023 December 14, 2023

Last Updated: August 2023 (Fort Worth, Texas ) John B. Lee Investigation Summary Here’s what you need to know about Fort Worth, Texas, stockbroker John B. Lee: Name: Mr. John…

ER
April 10, 2023

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 10, 2023 October 5, 2023

Donald Kowalsky Investigation April 2023- Atlanta, GA The FINRA records of Donald Kowalsky , a Cambridge Investment Research, Inc. broker discloses 3 prior customer disputes and a pending customer dispute. The…

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April 3, 2023

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 October 3, 2023

Christopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…

Robert Rex, Esq.
March 13, 2023

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 13, 2023 October 4, 2023

Webull Financial LLC Investigation March 2023 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

ER
March 13, 2023

Michael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS

Michael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 13, 2023 October 3, 2023

Michael J. Petyak Investigation March 2023- Canton, MS According to publicly available records Michael J. Petyak, a broker currently employed by Calton & Associates, Inc., discloses a pending customer dispute. The Financial…

ER
March 8, 2023

Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN

Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 October 3, 2023

Greg Koalska Investigation March 2023- Oakdale, MN The FINRA records of Greg Koalska, a currently unregistered stock broker formerly employed by Cambridge Investment Research. , disclose 2 regulatory events, , a…

ER
February 28, 2023

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 October 3, 2023

Annetta Marie Box Investigation February 2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research, discloses a final regulatory matter resulting…

ER
February 27, 2023

Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX

Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 October 4, 2023

Corrie Mitchell Investigation February 2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…

ER
February 27, 2023

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 October 3, 2023

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs, a broker employed by Securities Management and Research, Inc., discloses a customer dispute. The Financial…