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March 01, 2022

United States Securities and Exchange Commission v. Cambridge Investment Research Advisors, Inc. et al

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

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  1. March 20, 2025

    Iowa Adviser To Pay $15M Over SEC Conflict Claims

    An Iowa-based adviser has been ordered to pay $15 million over claims from the U.S. Securities and Exchange Commission that it invested client assets in funds that benefited an affiliated broker-dealer instead of lower-cost alternatives, without disclosing its conflicts of interest.

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