SEC Obtains Final Judgment Against Investment Adviser Arising From Undisclosed Conflicts in Mutual Fund & Account Recommendations
March 21, 2025
March 21, 2025
WASHINGTON, March 21 -- The Securities and Exchange Commission issued the following litigation release (No. 4:22-cv-00071-SMR-SBJ; S.D. Iowa filed Mar. 1, 2022) involving Cambridge Investment Research Advisors Inc.:
* * *
On March 19, 2025, the Securities and Exchange Commission obtained a final judgment by consent against Cambridge Investment Research Advisors, Inc. (CIRA), a registered investment adviser based in Fairfield, Iowa. The Commission had charged CIRA with f . . .
* * *
On March 19, 2025, the Securities and Exchange Commission obtained a final judgment by consent against Cambridge Investment Research Advisors, Inc. (CIRA), a registered investment adviser based in Fairfield, Iowa. The Commission had charged CIRA with f . . .