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Cambridge Investment Research Fined $150,000 By FINRA | LeapRate | Online Trading Industry News, Broker Intelligence & Fintech Analysis
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Cambridge Investment Research Fined $150,000 By FINRA | LeapRate | Online Trading Industry News, Broker Intelligence & Fintech Analysis
An American broker-dealer and asset management firm has been censured and fined by the Financial Industry Regulatory Authority (FINRA) after failing for seven years to properly monitor its representatives’ variable annuity exchange activity, leaving 14 customers out of pocket by nearly $130,000. FINRA said in a release this week that there were supervisory failures by Cambridge Investment Research, Inc., headquartered in Fairfield, Iowa, spannin…
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