CHRISTOPHER JAMES DACEY

CHRISTOPHER JAMES DACEY is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 18 Corporate Woods Blvd, Floor 2, Albany, NY, 12211.

CHRISTOPHER JAMES DACEY has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since September 04, 2015

Disclosure History

CHRISTOPHER JAMES DACEY has 1 Disclosure Event(s).

Date: January 26, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES POOR RECOMMENDATIONS CAUSED HIM TO INCUR LOSSES. CLIENT ALSO ALLEGES THAT TRADES WERE DONE WITHOUT HIS APPROVAL. ON ONE INDIVIDUAL STOCK TRADE THE CLIENT ALLEGES THAT THE REP MAY HAVE HAD INSIDE INFORMATION
Settlement Amount: $11,457.79
Broker Comment: SIGNATOR INVESTORS INC HAS RE-OPENED COMPLIANT AS OF 04/15/2009

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

To view the full report for CHRISTOPHER JAMES DACEY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.