Cambridge Investment Research, Inc. Sanctioned by FINRA for Failure to Supervise Sales of LJM Preservation & Growth Fund

Cambridge Investment Research, Inc. Sanctioned by FINRA for Failure to Supervise Sales of LJM Preservation & Growth Fund

Kevin J. Deloatch, Esq.2026-08-05T12:12:16-05:00April 1st, 2021|Securities Law, Fraud, Improper Mutual Fund Sales Practices|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Cambridge Investment Research, Inc. (CRD # 39543) was recently sanctioned by FINRA’s [...]

Christian Lucchetto Suspended from the Securities Industry by FINRA for Churning

Christian Lucchetto Suspended from the Securities Industry by FINRA for Churning

Kevin J. Deloatch, Esq.2026-08-05T12:15:26-05:00January 21st, 2021|Securities Law, Churning, FINRA - Broker Actions, Fraud, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Christian Frank Lucchetto (CRD # 4648994) was recently suspended from the securities [...]

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