Barbra Shaffer (CRD #: 1700153), a Fort Lauderdale, Florida broker registered with Cambridge Investment Research, is involved in multiple pending customer disputes, according to her BrokerCheck record, accessed on January 5, 2021. Keep reading to learn more information about this broker’s record.
On October 27, 2020, a client alleged that Barbra Shaffer executed unauthorized trades. The dispute is pending.
On January 20, 2020, a client alleged that Barbra Shaffer made unsuitable investment recommendations and breached her fiduciary duty. The client sought $100,000; the dispute is pending.
On November 14, 2008, a client alleged that Shaffer misrepresented provisions of a variable annuity contract. The client sought $5,000 but the dispute was denied by the firm.
Barbra Shaffer has passed the Series 66 Uniform Combined State Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 3 National Commodity Futures Examination, the Series 7 General Securities Representative Examination, and the Series 6 Investment Company Products/ Variable Contacts Representative Examination. He is a registered broker in 19 states and a registered investment adviser in Florida and Texas.
Barbra Shaffer has worked in the securities industry for 31 years. In three decades, Shaffer has worked at the following firms:
- Cambridge Investment Research (CRD #: 39543)
- Cambridge Investment Research Advisors (CRD #: 134139)
- National Asset Management (CRD #: 115927)
- National Securities Corporation (CRD #: 7569)
- Prime Capital Services (CRD #: 18334)
- LPL Financial Corporation (CRD #: 6413)
- IFMG Securities (CRD #: 14416)
- JWH Securities (CRD #: 45295)
- Signator Investors (CRD #: 468)
- John Hancock Funds (CRD #: 28262)
- Van Kampen American Distributors (CRD #: 6939)
- American Capital Marketing (CRD #: 6699)
- Van Eck Securities Corporation (CRD #: 2269)
If Barbra Shaffer was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.