SUSAN LYNN COOPER is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 2529 WHITNEY AVE., WALLINGFORD, CT, 06518.
SUSAN LYNN COOPER has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since April 01, 2014
Disclosure History
SUSAN LYNN COOPER has 2 Disclosure Event(s).
Date: April 01, 2014 Category: Employment Separation After Allegations Firm Name: CFS SECURITIES, INC. Termination Type: Permitted to Resign Allegations: CFS SECURITIES, INC. HAS COMPLETED ITS INVESTIGATION CONCERNING SUSAN COOPER. BASED ON THAT INVESTIGATION, AND AFTER REVIEW AND CONSIDERATION, THE COMPANY HAS NOW CONCLUDED THAT WHILE SUSAN COOPER WAS INSUBORDINATE, FAILED TO FOLLOW INSTRUCTIONS FROM HER SUPERVISOR, AND VIOLATED INTERNAL COMPANY PROCEDURES, HER CONDUCT DID NOT RISE TO THE LEVEL OF VIOLATION OF INVESTMENT-RELATED STATUTES, REGULATIONS, RULES, OR INDUSTRY STANDARDS OF CONDUCT. Broker Comment: ALLEGATIONS AROSE DUE TO INTERNAL DISAGREEMENTS BETWEEN TWO BUSINESS PARTNERS.
Date: April 01, 2014 Category: Employment Separation After Allegations Firm Name: COOPER FINANCIAL SERVICES, INC. Termination Type: Permitted to Resign Allegations: COOPER FINANCIAL SERVICES, INC. HAS COMPLETED ITS INVESTIGATION CONCERNING SUSAN COOPER. BASED ON THAT INVESTIGATION, AND AFTER REVIEW AND CONSIDERATION, THE COMPANY HAS NOW CONCLUDED THAT WHILE SUSAN COOPER WAS INSUBORDINATE, FAILED TO FOLLOW INSTRUCTIONS FROM HER SUPERVISOR, AND VIOLATED INTERNAL COMPANY PROCEDURES, HER CONDUCT DID NOT RISE TO THE LEVEL OF VIOLATION OF INVESTMENT-RELATED STATUTES, REGULATIONS, RULES OR INDUSTRY STANDARDS OF CONDUCT. Broker Comment: ALLEGATIONS AROSE DUE TO INTERNAL DISAGREEMENTS BETWEEN TWO BUSINESS PARTNERS.
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