STEVEN LEWIS BERGSTROM is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1160 N. Town Center Dr., Ste. 370, Las Vegas, NV, 89144.
STEVEN LEWIS BERGSTROM has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since December 07, 2015
Disclosure History
STEVEN LEWIS BERGSTROM has 2 Disclosure Event(s).
Date: December 13, 2013 Category: Financial Type: Compromise Disposition: Discharged
Date: August 15, 2002 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT REP FRAUDULENTLY COMPLETED AND SUBMITTED AN ANNUITY APPLICATION AND/OR FORGED CLIENT'S SIGNATURES BY COPYING A SIGNATURE PAGE FROM A PRIOR APPLICATION BEARING THEIR SIGNATURES IN OR ABOUT 5/2001. CLIENT IS A REP OF ANOTHER BROKER-DEALER. Damage Amount Requested: $308,238.05 Broker Comment: CUSTOMERS WANTED ME TO PAY THEM MONEY FOR COMMISSIONS RECEIVED AFTER ANNUITY WAS ISSUED THIS WAS ASKED FOR AFTER SHE LEFT A CAPTIVE AGENT RELATIONSHIP AND NOW COULD REWRITE THE ANNUITY.
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