BRIAN ALLEN PEARDON is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1227 Pleasant Grove Blvd., #200, Roseville, CA, 95678.
BRIAN ALLEN PEARDON has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since August 18, 2014
Disclosure History
BRIAN ALLEN PEARDON has 2 Disclosure Event(s).
Date: October 30, 2015 Category: Customer Dispute Allegations: Clients allege their investment plan was unsuitable for their needs and risk tolerance due to an overconcentration of investments in illiquid products, namely REITS and Equipment Leasing Funds. Clients further allege a failure to conduct adequate product due diligence, a failure to perform proper suitability analyses, and a failure to disclose material facts. Damage Amount Requested: $90,000.00 Settlement Amount: $9,500.00 Broker Comment: These five separate investments were a small portion of a well-diversified investment strategy with no overconcentration in private placements. Diversification was the agreed upon strategy. Full disclosure of risk was detailed & acknowledged by client signature on file.
Date: May 13, 2009 Category: Customer Dispute Allegations: WITH REGARD TO THE PURCHASE OF A VARIABLE LIFE INSURANCE POLICY IN OR AROUND MAY OF 2006, THE CUSTOMER ALLEGES THAT THE AGENT MISLED HER ABOUT WHAT SHE NEEDED TO DO AND WHAT COULD HAVE BEEN DONE TO PROTECT THE VARIABLE LIFE INSURANCE POLICY. THE CUSTOMER ALLEGES THAT THE AGENT RE-ASSURRED HER THAT THE POLICY'S INITIAL DEPOSIT AMOUNT WOULD COVER THE POLICY FOR SEVERAL YEARS AND LATER FOUND THAT THE POLICY HAD BEEN CANCELLED. Broker Comment: THE CUSTOMER ACCEPTED NYLIFE'S OFFER TO REINSTATE HER VARIABLE LIFE INSURANCE POLICY. THERE WAS NO COST ASSOCIATED WITH THE OFFER.
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