DOUGLAS EUGENE ALLEN

DOUGLAS EUGENE ALLEN is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 801 4th Ave, Grinnell, IA, 50112.

DOUGLAS EUGENE ALLEN has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since September 27, 2017

Disclosure History

DOUGLAS EUGENE ALLEN has 1 Disclosure Event(s).

Date: August 03, 2016
Category: Customer Dispute
Allegations: REPRESENTATIVE DID NOT EXPLAIN ILLIQUIDITY OR RISK OF INVESTMENT.
Damage Amount Requested: $15,695.28

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.

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