WARREN RUSSELL FRITZ

WARREN RUSSELL FRITZ is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 2632 S 11th St., Kalamazoo, MI, 49009.

WARREN RUSSELL FRITZ has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since January 03, 2012

Disclosure History

WARREN RUSSELL FRITZ has 2 Disclosure Event(s).

Date: March 13, 2002
Category: Customer Dispute
Allegations: UNSUITABILITY
Damage Amount Requested: $78,663.00
Settlement Amount: $37,250.00
Broker Comment: SETTLED BY THE BROKERS INVOLVED. THE FIRM WAS NOT NAMED AND DID NOT PAY THE SETTLEMENT.

Date: November 04, 2001
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGE THEIR ACCOUNT WAS MISMANAGED IN THE USE OF HIGH-RISK EQUITY AND OPTIONS TRANSACTIONS AND THE UNSUITABLE USE OF MARGIN
Damage Amount Requested: $136,000.00
Settlement Amount: $35,000.00
Broker Comment: AMOUNT REFLECTED UNDER INDIVIDUAL CONTRIBUTION IS AMOUNT THE FINANCIAL ADVISOR IS REQUIRED TO PAY PURSUANT TO CONTRACT SIGNED BY INDIVIDUAL.

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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