10.0David P Neuman
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ALERT! Cambridge Investment Research Ordered to Pay $3.4 Million

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30
Mar

ALERT! Cambridge Investment Research Ordered to Pay $3.4 Million

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ALERT! Cambridge Investment Research Ordered to Pay $3.4 Million

Brokerage Firm Settles with FINRA for $3.4 Million Over LJM Preservation and Growth Fund

Have you lost money investing in the LJM Preservation and Growth Fund through Cambridge Investment Research in Fairfield, IA?  We are currently investigating allegations made against Cambridge Investment Research, a Fairfield, Iowa-based securities brokerage firmFINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, making allegations that it failed to do adequate due diligence on the LJM Preservation and Growth Fund.  In particular, FINRA alleged that Cambridge Investment Research failed to understand the particular risks of the LJM Preservation and Growth Fund.  To settle these allegations, Cambridge Investment Research agreed to pay a $400,000 fine and restitution of over $3 million.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including Iowa.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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