Cambridge Investment Research, Inc. | FINRA Disciplinary Action

March 29, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056443801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambridge Investment Research, Inc., Respondent Member Firm CRD No. 39543 Pursuant to FINRA Rule 9216, Respondent Cambridge Investment Research, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2018056443801

Keith Holcomb | FINRA Disciplinary Action
Securities America, Inc. | FINRA Disciplinary Action

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