Erez Law is interested in speaking with investors who may have suffered losses due to investments with Cambridge Investment Research, Inc. broker Neal Thompson (CRD# 5252962). Thompson has been registered with Harbour Investments, Inc. in Scottsdale, Arizona since 2018.
Thompson has been the subject of one customer complaint, according to his CRD report:
December 2020. “Clients allege breach of fiduciary duty and negligence regarding complex, illiquid and/or alternative investments purchased at previous broker dealer, not Harbour.” The customer is seeking $150,000 in damages and the case is currently pending. The complaint was regarding real estate securities and took place while Thompson was registered with Cambridge Investment Research, Inc.
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 Thompson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.