BENJAMIN VINCENT PEARMAN is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 4525 OLD CAVE SPRING RD, ROANOKE, VA, 24018.
BENJAMIN VINCENT PEARMAN has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since January 02, 2009
Disclosure History
BENJAMIN VINCENT PEARMAN has 1 Disclosure Event(s).
Date: September 06, 2005 Category: Customer Dispute Allegations: THE CLIENT CLAIMED THE ADVISOR TRANSFERRED $150,000 IN AXP A SHARES TO NON-PROPRIETARY A SHARE MUTUAL FUNDS IN JUNE 2005 WITHOUT HER AUTHORIZATION. SHE INCURRED SALES LOADS OF APPROXIMATELY $6,500. Damage Amount Requested: $6,500.00 Broker Comment: OUR REVIEW FOUND TEH ADVISOR'S RECOMMENDATION WAS SUITABLE BASED ON THE CLIENTS STATE OBJECTIVE TO LOWER HER TAXABLE INCOME. THE RECOMMENDED FUNDS ARE EXEMPT FROM BOTH STATE AND FEDERAL TAXES AND HAVE OUPERFORMED THE CLIENT'S PREVIOUSLY HELD MUTUAL FUNDS. THE ADVISOR PROVIDED FULL DISCLOSURE REGARDING THE NEW SALES LOAD. THE CLIENT AUTHORIZED THE TRANSACTIONS AND SIGNED A NEW ACCOUNT APPLICATION. FINALLY, SHE ACKNOWLEDGED HER UDNERSTANDING OF THE TRANSACTIONS AND NEW SALES LOAD BY SIGNING A SWITCH LETTER AND MUTUAL FUND DISCLOSURE FORM
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