RICHARD ALAN POLLOCK

RICHARD ALAN POLLOCK is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 9268 WASHINGTON ST, CHAGRIN FALLS, OH, 44023.

RICHARD ALAN POLLOCK has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since April 18, 2013

Disclosure History

RICHARD ALAN POLLOCK has 1 Disclosure Event(s).

Date: May 22, 2009
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES HE WAS LED TO BELIEVE HE WOULD HAVE ACCESS TO THE CASH IN HIS KBS REIT WITH ONLY A SURRENDER PENALTY.
Damage Amount Requested: $100,000.00
Broker Comment: OUR REVIEW INDICATED THE ILLIQUIDITY OF THE KBS REIT WAS DISCLOSED AT THE TIME OF SALE.

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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