Brad C. Lawing, of Springfield, Missouri, a stockbroker currently registered with Cambridge Investment Research, Inc., has been named in a customer initiated investment related written complaint on January 19, 2017, in which the customer requested $8,500.00 in damages based upon allegations that Lawing failed to apprise the customer concerning the fees associating with the switching of the customer’s variable annuity policies.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Lawing has been named in five additional customer initiated investment related disputes containing allegations of Lawing’s misconduct while employed with Cambridge Investment Research, Inc. Specifically, on September 9, 2015, a customer filed an investment related written complaint involving Lawing’s conduct, in which the customer requested $200,000.00 in damages based upon allegations that Lawing effected unauthorized mutual fund sales in the customer’s investment account.

On September 18, 2015, another customer filed an investment related written complaint regarding Lawing’s activities, in which the customer requested $20,000.00 in damages based upon allegations that Lawing made misrepresentations to the customer concerning the fees and capital gains pertaining to the customer’s mutual fund investments. Further, on September 2, 2016, a customer filed an investment related written complaint involving Lawing’s conduct, in which the customer requested $26,000.00 in damages based upon allegations that Lawing effected unauthorized trades in the customer’s account, and failed to notify the customer about the liquidity of a real estate security investment which the customer purchased and sustained investment losses from.

Moreover, on September 12, 2016, a customer filed an investment related written complaint regarding Lawing’s activities, in which the customer requested $15,000.00 in damages based upon allegations that Lawing sold the customer’s equity positions without authorization, causing the customer to sustain an undue tax burden. Additionally, on November 28, 2016, a customer filed an investment related written complaint involving Lawing’s conduct, in which the customer requested $18,000.00 in damages based upon allegations that Lawing failed to inform the customer of a contingent deferred sales charge on an annuity, and effected the unauthorized sales of mutual funds which caused the customer to sustain adverse tax consequences.

Guiliano Law Firm

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com.

Tags: ,

Comments are closed.

%d bloggers like this: