STEPHANIE ANN Thomann is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 52556-8757.
STEPHANIE ANN Thomann has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since August 22, 2011
Disclosure History
STEPHANIE ANN Thomann has 5 Disclosure Event(s).
Date: September 06, 2017 Category: Judgment / Lien Judgment/Lien Amount: $1,612.91 Judgment/Lien Type: Civil Broker Comment: January 7, 2017 I was in a car accident where the other party was at fault. The other parties insurance company was held liable to pay medical bills associated with this accident. As of today their insurance company still has not paid any of the medical bills. The judgment against me is for the balance my own personal medical insurance company did not pay. My medical insurance company is counter suing the car insurance company for the balance they paid. I will also have to counter sue the car insurance company for the balance in which I have received the judgment in order to pay off the balance and satisfy the judgment for release.
Date: January 28, 1998 Category: Criminal Charges: Theft in the Fifth Degree Disposition: Pled guilty Broker Comment: This charge is the result of fraud that was committed against me. My roommate forged my name on checks written from my account. This act of forgery resulted in checks written that did not clear my account. Due to the longevity of the case I asked the judge what was the quickest way to resolve the situation, he replied plead guilty and pay the fines and restitution. Not knowing the effect a guilty plea would have on my future I plead guilty and paid the fines and restitution.
Date: September 07, 1997 Category: Criminal Charges: Theft in the Fifth Degree Disposition: Pled guilty Broker Comment: This charge is the result of fraud that was committed against me. My roommate forged my name on checks written from my account. This act of forgery resulted in checks written that did not clear my account. Due to the longevity of the case I asked the judge what was the quickest way to resolve the situation, he replied plead guilty and pay the fines and restitution. Not knowing the effect a guilty plea would have on my future I plead guilty and paid the fines and restitution.
Date: August 13, 1997 Category: Criminal Charges: Theft in the Fifth Degree Disposition: Pled guilty Broker Comment: This charge is the result of fraud that was committed against me. My roommate forged my name on checks written from my account. This act of forgery resulted in checks written that did not clear my account. Due to the longevity of the case I asked the judge what was the quickest way to resolve the situation, he replied plead guilty and pay the fines and restitution. Not knowing the effect a guilty plea would have on my future I plead guilty and paid the fines and restitution.
Date: May 29, 1997 Category: Criminal Charges: Theft in the Fifth Degree Disposition: Dismissed Broker Comment: This charge is the result of fraud that was committed against me. My roommate forged my name on checks written from my account. This act of forgery resulted in checks written that did not clear my account. This charge was dismissed on 10/10/97 and expunged on 4/20/17.
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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