PAUL K DOAK is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 18208 28th Dr. SE, Bothell, WA, 98012.
PAUL K DOAK has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since July 28, 2014
Disclosure History
PAUL K DOAK has 2 Disclosure Event(s).
Date: April 16, 2018 Category: Customer Dispute Allegations: Client alleges she was unaware this investment was risky and she feels she has not been adequately informed along the way. Client also alleges she has lost $12,000. Damage Amount Requested: $12,000.00 Broker Comment: The client appeared to be more frustrated with life events not related to the investment and decided to express frustration on this one investment, whereas over the course of almost 10 years, there have been other gains and losses there has been no similar sentiment.
Date: August 13, 1998 Category: Customer Dispute Allegations: CUSTOMER "GAVE MONEY 'CHECKS' TO DARYL BULLING (HER ACCOUNTANT) TO BE INVESTED WITH MR. DOAK" 1996 FALL OR SPRING 1997. MONEY NOR CLIENT EVER MET W/ PAUL DOAK. ACCOUNTANT MISAPPROPRIATED MONEY FOR OTHER USES Broker Comment: DROPPED-RELEASED FROM ALL ALLEGATIONSA CPA WHO I HAD A REFERRAL LEADS SYSTEM GOINGTOOK SOME MONEY FROM ONE OF HIS CLEINTS AND INVESTED IT IN APROPERTY THAT WAS GOING THROUGH FINANCING. THE CLIENT CAMEACROSS MY NAME AND ASSUMED I HAD INVESTED IT. I HAD NEVER METTHE CLIENT AND HAD NO INVOLVEMENT WITH HER MONEY. THECOMPLAINT IS BASELESS AND WAS USED FOR FACT FINDING PURPOSESFOR HER CASE AGAINST THE ACCOUNTANT.
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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