CATHY A TAMEZ

CATHY A TAMEZ is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1701 RIVER RUN RD, STE 1014, FORT WORTH, TX, 76107.

CATHY A TAMEZ has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since May 04, 2015

Disclosure History

CATHY A TAMEZ has 2 Disclosure Event(s).

Date: March 02, 2015
Category: Employment Separation After Allegations
Firm Name: FIDELITY BROKERAGE SERVICES LLC
Termination Type: Voluntary Resignation
Allegations: ALLEGATION THAT EMPLOYEE USED GUIDANCE TOOLS INCONSISTENT WITH THE FIRM'S POLICY TO POSITIVELY IMPACT HER PERFORMANCE METRICS.

Date: March 02, 2015
Category: Employment Separation After Allegations
Firm Name: FIDELITY BROKERAGE SERVICES LLC
Termination Type: Voluntary Resignation
Allegations: ALLEGATION THAT EMPLOYEE USED GUIDANCE TOOLS INCONSISTENT WITH THE FIRM'S POLICY TO POSITIVELY IMPACT HER PERFORMANCE METRICS.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

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