TERRY RAY DOLLOFF

TERRY RAY DOLLOFF is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 8311 E Oxford Circle, Wichita, KS, 67226.

TERRY RAY DOLLOFF has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since November 06, 2017

Disclosure History

TERRY RAY DOLLOFF has 1 Disclosure Event(s).

Date: July 27, 1993
Category: Regulatory
Initiated By: KANSAS SECURITIES COMMISSIONER
Allegations: RESPONDENT SOLICITED SALES OF SECURITIESWHILE HE WAS NOT REGISTERED IN KANSAS. RESPONDENT ALSO MADEUNTRUE STATEMENTS OF MATERIAL FACT WHILE SOLICITING THESESECURITIES.
Resolution: Order SanctionDetails:
Sanctions: Cease and Desist/Injunction Sanction Details: RESPONDENT IS SUBJECT OF A PERMANENT CEASE &DESIST ORDER WHICH PROHIBITS HIM FROM SOLICITING SALES OFSECURITIES IN KANSAS UNLESS PROPERLY REGISTERED OR EXEMPT.
Broker Comment: I WAS BROUGHT INTO A MEETING TO DISCUSS GROUP BENEFITS. IN THE DISCUSSION THE COMPANY EXPLAINED THEY WOULD LIKE TO START A 401(K). WE DISCUSSED SEVERAL COMPANIES AND WHAT WAS INVOLVED WITH THEIR PICKING OF CAPITAL APPRECIATION AND STOCK FUNDS. NO DISCUSSION WAS MADE TO DOLLARS OR A SOLICATION OF SAME. ONE OF THE PERSONS IN THE ROOM WAS WITH THE STATE SECURITIES OFFICE. HE REVIEWED MY LICENSING AND FOUND THAT NOT ALL REQUIREMENTS HAD BEEN COMPLETED. A CEASE AND DESIST WAS ISSUED UNTIL ALL LICENSING WAS COMPLETED.

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