BRAD ERIN FAHRENKAMP is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 9636 CINCINNATI COLUMBUS ROAD, CINCINNATI, OH, 45241.
BRAD ERIN FAHRENKAMP has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since October 21, 2014
Disclosure History
BRAD ERIN FAHRENKAMP has 2 Disclosure Event(s).
Date: March 10, 2014 Category: Customer Dispute Allegations: EXECUTRIX OF THE CLIENT'S ESTATE ALLEGES THAT THE RR MADE AN UNSUITABLE RECOMMENDATION BY SOLICITING A CLIENT TO PURCHASE A $141.000 SYMETRA ADVANTAGE INCOME IMMEDIATE ANNUITY IN NOVEMBER 2011 Damage Amount Requested: $32,102.00
Date: August 28, 2008 Category: Employment Separation After Allegations Firm Name: FIFTH THIRD SECURITIES Termination Type: Permitted to Resign Allegations: REPRESENTATIVE ALTERED CLIENT DOCUMENTS Broker Comment: ON 8/13/2008 I WAS INFORMED OF AN INQUIRY FROM FITH THIRD SECURITIES PRD, THAT A REVIEWING OF AN ANNUITY CONTRACT THAT HAD DATES CHANGED WITHOUT THE CUSTOMERS INITIALS. THE CONTRACT ACCORDING TO THE RULES OF THE WRITTEN SUPERVISORY PROCEDURE MANUAL CONSIDERED IT AN ALTERED DOCUMENT. EVEN THOUGH THE CONTRACT IN QUESTION HAD BEEN VOIDED BY ME PRIOR TO GOING IN-FORCE, THE COMPLIANCE DEPARTMENT CONSIDERED IT A RULE BROKEN. A NEW CONTRACT WAS WRITTEN AND RESUBMITTED, THE CUSTOMER HAD NO ISSUES NOR COMPLAINTS REGARDING THE ISSUES OF THE NEW CONTRACT.
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