CARTER JAMES COWAN is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 7666 E 61ST ST, STE 350, TULSA, OK, 74133.


Disclosure History

CARTER JAMES COWAN has 2 Disclosure Event(s).

Date: November 25, 2015
Category: Financial
Type: Bankruptcy
Broker Comment: After leaving a prior firm, RR spent several years trying to negotiate a fair settlement on a note payable to the firm. Unrealistic payment terms and lack of recognition for services rendered, along with zero application for former client's revenues that remain at the firm left RR at an impasse. In order to best serve RR's business, clients and family, and upon advice of Counsel RR made the decision to seek protection from what RR felt was over-zealous pursuit and intimidation by the prior firm.

Date: October 30, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $142,625.00
Judgment/Lien Type: Civil
Broker Comment: Upon leaving Morgan Stanley and negotiating in good faith for 2 years, the Firm failed to offer any reasonable solutions to address the promissory note. Despite leaving many clients with their Firm that more than covered the amount of the payments, the Firm would not offer a viable payback alternative. After liquidating retirement accounts to pay back a portion, the payments became unmanageable and the Firm enforced this judgment.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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