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JAMES RICHARD HALL

JAMES RICHARD HALL is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 4411 South Wayside Dr, Ste 100, Houston, TX, 77087.

JAMES RICHARD HALL has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since May 05, 2016

Disclosure History

JAMES RICHARD HALL has 3 Disclosure Event(s).

Date: February 08, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $8,678.29
Judgment/Lien Type: Tax

Date: March 30, 2009
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES THAT THE VARIABLE UNIVERSAL LIFE INSURANCE POLICY SHE PURCHASED IN FEBRUARY 2001 WAS MISREPRESENTED REGARDING THE TERMS OF THE DEATH BENEFIT.
Damage Amount Requested: $8,295.59
Broker Comment: COMPLAINT RECEIVED VIA THE TEXAS DEPARTMENT OF INSURANCE.

Date: June 05, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $4,550.42
Judgment/Lien Type: Tax

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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