STEPHANIE DEVAN ABEE is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 2304 Wesvill Ct., Ste 380, Raleigh, NC, 27607.
STEPHANIE DEVAN ABEE has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since April 15, 2016
Disclosure History
STEPHANIE DEVAN ABEE has 2 Disclosure Event(s).
Date: November 28, 2017 Category: Customer Dispute Allegations: Claimant alleges the representative made misrepresentations regarding the risks and nature of the investments and commissions and fees associated. Claimant also alleges the investments were not liquid and unsuitable. Damage Amount Requested: $125,000.00 Settlement Amount: $25,000.00 Broker Comment: Rep-Advisor's association with this complaint is limited to an administrative capacity only. RR was not the representative of record for any of the investment accounts held by the client or complainant.
Date: January 09, 2017 Category: Customer Dispute Allegations: Claimant alleges the representative made misrepresentations regarding the risks and nature of the investments and commissions and fees associated. Claimant also alleges the investments were not liquid and unsuitable. Settlement Amount: $250,000.00 Broker Comment: Rep-Advisor's association with this complaint is limited to an administrative capacity only. RR was not the representative of record for any of the investment accounts held by the client or complainant.Complaint was addressed to and settled by broker/dealer. Advisor did not personally contribute financially to settlement.
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.
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