DUANE J HALEY is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 3815 River Crossing Pkwy Ste 100, STE 100, Indianapolis, IN, 46240.
DUANE J HALEY has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since September 01, 2016
Disclosure History
DUANE J HALEY has 7 Disclosure Event(s).
Date: November 28, 2016 Category: Customer Dispute Allegations: Client, through her attorney, alleges unsuitable investment and unauthorized transactions. (9/28/2015-10/14/2015) Damage Amount Requested: $25,000.00 Settlement Amount: $5,000.00 Broker Comment: The rep asserts he met with the client to present a strategy to address the client's investment goals. The rep states the client authorized the rep to make the appropriate changes and investments in the clients account.
Date: December 01, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: June 01, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: Filed in error.
Date: June 01, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: June 01, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: August 15, 2008 Category: Judgment / Lien Judgment/Lien Amount: $6,940.30 Judgment/Lien Type: Civil Broker Comment: THIS LIEN IS FOR THE SANITARY FORCE MAIN ISTALLED THROUGH OUR NEIGHBORHOOD. WE ARE BILLED 53.81 ON A MONTHLY BASIS UNTIL IT IS PAID IN FULL. THE REMAINING PRINCIPAL BALANCE IS $5,411.87
Date: January 05, 1977 Category: Criminal Charges: PETTY LARCENY. 2. MISDEMEANOR. 3. GUILTY Charge Type: MISDEMEANOR Disposition: A. CONVICTED; B. 01/28/1977; C. NONE; F. FINE $50.00; G. DATE PAID 01/28/1977. Broker Comment: AT THE TIME I WAS HOME FROM SCHOOL AT FLORIDA SOUTHERN COLLEGE. MY HIGH SCHOOL FRIENDS AND I WERE ON A SKI TRIP IN VERMONT.I RECALL THE INCIDENT BUT DUE TO THE FACT THAT IT WAS OVER 30 YEARS AGO THE DETAILS ARE VERY VAGUE. THIS WAS SITUATION WHERE MY HIGH SCHOOL FRIENDS AND I LET A PRANK GET A LITTLE OUT OF HAND.
More Information
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