Cambridge Investment Research, Inc. broker Brian Dumont (CRD# 4737802) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Cambridge Investment Research, Inc. in New York, New York, from 2008 to 2017.
Brian Dumont Customer Complaints
He has been the subject of two customer complaints between 2016 and 2023, one of which was denied, according to his CRD report:
October 2023. “Statement of Claim alleges the financial professional recommended an unsuitable investment. Claimant suggests the financial professional failed to provide adequate guidance.” The customer is seeking $500,000 in damages, and the case is currently pending. The complaint was regarding real estate securities options.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cambridge Investment Research, Inc. may be liable for investment or other losses suffered by Brian Dumont’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
