STEVEN EDWARD FARRIS is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 555 MARYVILLE UNIVERSITY DR.,, SUITE 440, TOWN AND COUNTRY, MO, 63141.
STEVEN EDWARD FARRIS has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since October 20, 2014
Disclosure History
STEVEN EDWARD FARRIS has 2 Disclosure Event(s).
Date: January 22, 2014 Category: Customer Dispute Allegations: CUSTOMER ALLEGES REGISTERED REPRESENTATIVE PLACED 4 UNAUTHORIZED MUTUAL FUND PURCHASES IN JUNE OF 2013. Damage Amount Requested: $18,000.00
Date: August 27, 2004 Category: Customer Dispute Allegations: VIOLATIONS OF SECURITIES EXCHNAGE ACT OF 1934, THE ILLINOIS SECURITIES LAW OF 1953 AND THE ILLINOIS CONSUMER FRAUD AND DECEPTIVE BUSINESS PRACTICES ACT; FRAUD; BREECH OF FIDUCIARY DUTY; NEGLIGENCE AND BREACH OF CONTRACT. Damage Amount Requested: $157,500.00 Settlement Amount: $67,500.00 Broker Comment: DURING MEDIATION, AN AGREEMENT WAS REACHED FOR THE DISMISSAL OF ALL CLAIMS AGAINST MR. FARRIS AND STIFEL IN EXCHANGE FOR THE TOTAL PAYMENT OF $67,500.00. MR. FARRIS AGREED TO CONTRIBUTE $25,000.00 TOWARD THIS SETTLEMENT. ON 9/1/05 THE CLAIMANT HEREBY DISMISSES ALL OF HIS CLAIMS IN THIS MATTER AGAINST RESPONDENT MR. FARRIS, WITH PREJUDICE.
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