BRADLEY ROLAND HARSCH is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 5050 Laguna Blvd Ste 112-577, #6, Elk Grove, CA, 95758.
BRADLEY ROLAND HARSCH has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since February 17, 2014
Disclosure History
BRADLEY ROLAND HARSCH has 7 Disclosure Event(s).
Date: July 09, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: June 28, 2012 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPROMISE IS A RESULT OF SERIOUS ECONOMIC DOWNTURN.
Date: July 01, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: July 29, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPANY OFFERED COMPROMISE IN CONSIDERATION OF WEAKENED FINANCIAL CONDITION
Date: April 01, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: DELINQUENCY RESULTED FROM SEVERE ECONOMIC DOWNTURN
Date: January 29, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPANY OFFERED COMPROMISE IN CONSIDERATION OF WEAKENED FINANCIAL CONDITION
Date: June 05, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FA DID NOT ADVISE HER PROPERLY CONCERNING HER ANNUITY CAUSING IT TO GO DOWN IN VALUE AND SHE THEN INCURRED SURRENDER CHARGES AND TAX WITHHOLDING DUE TO HIS NEGLIGENCE. DAMAGES UNSPECIFIED BUT BELIEVED TO BE IN EXCESS OF $5,000.00. Settlement Amount: $9,999.00
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