Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAMBRIDGE INVESTMENT RESEARCH, INC.
39543
JAMES F. SERAMBA
2580051
CAMBRIDGE INVESTMENT RESEARCH INC.
39543
JAMES SERAMBA
2580051
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2011-11-22
D/A
$100,000.00
Yes
$0.00
No
2011-10-18
D/A
$100,000.00
Yes
$0.00
No
2011-09-21
D/A
$100,000.00
Yes
$0.00
No
2011-07-13
D
$100,000.00
Yes
$0.00
No
2010-10-13
D
$351,000.00
Yes
$0.00
No
2009-10-22
D/A
$5,250,000.00
Yes
$0.00
No
2009-08-19
D/A
$5,250,000.00
Yes
$0.00
No
2009-08-19
D/A
$5,250,000.00
Yes
$0.00
No
2009-07-31
D/A
$5,250,000.00
Yes
$0.00
No
2009-07-21
D/A
$5,250,000.00
Yes
$0.00
No
2009-07-08
D/A
$5,250,000.00
Yes
$0.00
No
2009-06-23
D/A
$5,250,000.00
Yes
$0.00
No
2009-06-15
D/A
$5,250,000.00
Yes
$0.00
No
2009-06-03
D/A
$5,250,000.00
Yes
$0.00
No