CINDY SHU-WAY SHI

CINDY SHU-WAY SHI is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 20045 STEVENS CREEK BLVD, STE 2G, CUPERTINO, CA, 95014.

CINDY SHU-WAY SHI has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since July 30, 2012

Disclosure History

CINDY SHU-WAY SHI has 1 Disclosure Event(s).

Date: June 12, 2012
Category: Employment Separation After Allegations
Firm Name: AMERIPRISE FINANCIAL SERVICES, INC.
Termination Type: Discharged
Allegations: Advisor terminated for company policy violations related to office location, onboarding of staff and altering a previously signed form. Advisor stated that documents were amended by someone other than her, and customer did not object.
Broker Comment: RR asserts she was recruited under an incorrect platform (Employee: W2 vs Independent Contractor: Form 1099) and the prior firm failed to finger print RR's CPA staff before working directly with them. RR states this reasoning prompted her termination from her prior broker dealer and she did not violate the terms of her employment. RR also claims she did not alter any documents. RR believes the evidence from a FINRA hearing shows another individual altered client's document

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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