BRIAN MICHAEL THERRELL is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1300 N FEDERAL HWY, STE 101, BOCA RATON, FL, 33432.
BRIAN MICHAEL THERRELL has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since November 01, 2013
Disclosure History
BRIAN MICHAEL THERRELL has 3 Disclosure Event(s).
Date: January 22, 2017 Category: Customer Dispute Allegations: Client alleges he was unaware his investments were illiquid and he would have to pay surrender penalties to release his assets. Broker Comment: Client was aware of the liquidity provisions and surrender charges associated with his investments. Client was offered liquid investments but chose the safety and guarantees due to his hesitation of markets. Client had opportunity for liquidity but chose not to take the opportunity. Client made the decision to keep the assets illiquid to maintain the benefits they provided. Client was aware of the liquidity provisions as evidenced by documentation. RR denies any wrongdoing.
Date: October 12, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES HE WAS PROMISED A 6% RETURN ON HIS INVESTMENT AND ALLEGES UNAUTHORIZED TRADING IN HIS ACCOUNT. Damage Amount Requested: $14,700.00 Broker Comment: THE FIRM INVESTIGATED THE CLIENT'S CONCERNS AND FOUND THEM TO BE WITHOUT MERIT.
Date: January 24, 2006 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE VARIABLE LIFE INSURANCE POLICIES SOLD TO THEM IN 2004 WERE UNSUITABLE FOR THEM. Damage Amount Requested: $6,430.00 Settlement Amount: $6,430.00 Broker Comment: THE FIRM WAS UNABLE TO COFIRM THAT THE CLIENTS RECEIVED FULL AND FAIR DISCLOSURE OF THE INVESTMENTS AND AS A RESULT, SETTLED WITH THE CLIENTS REFUNDING THE PREMIUMS PAID ON THEIR LIFE INSURANCE PRODUCTS.
More Information
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