United States Securities and Exchange Commission v. Cambridge Investment Research Advisors, Inc. et al
| Securities and Exchange Commission and United States Securities and Exchange Commission |
| Cambridge Investment Research Advisors, Inc. and Cambridge Investment Research, Inc. |
| 4:2022cv00071 |
| March 1, 2022 |
| US District Court for the Southern District of Iowa |
| Stephen B Jackson |
| Stephanie M Rose |
| Securities/Commodities |
| Plaintiff |
Docket Report
This docket was last retrieved on April 21, 2022. A more recent docket listing may be available from PACER.
| Document Text |
|---|
| Filing 8 NOTICE of Appearance by Elisabeth A. Archer on behalf of All Defendants (Archer, Elisabeth) |
| Filing 7 NOTICE of Appearance by Mark E. Weinhardt on behalf of All Defendants (Weinhardt, Mark) |
| Filing 6 WAIVER OF SERVICE Returned Executed filed by United States Securities and Exchange Commission; Cambridge Investment Research, Inc. waiver served on 3/2/2022, answer due 5/2/2022. (Stockwell, Timothy) |
| Filing 5 WAIVER OF SERVICE Returned Executed filed by United States Securities and Exchange Commission; Cambridge Investment Research Advisors, Inc. waiver served on 3/2/2022, answer due 5/2/2022. (Stockwell, Timothy) |
| Filing 4 NOTICE of Appearance by Jeffrey A. Shank on behalf of United States Securities and Exchange Commission (Shank, Jeffrey) |
| Filing 3 NOTICE of Appearance by Timothy J. Stockwell on behalf of United States Securities and Exchange Commission (Stockwell, Timothy) |
| Filing 2 Summons/Corporate Disclosure Packet Note: Counsel should download the attached summons and/or corporate disclosure packet, if applicable. In compliance with Rule 4 of the Rules of Civil Procedure for summons and Local Rule 7.1 for the disclosure statements. (Attachments: #1 7.1 packet) (kjw) |
| Filing 1 COMPLAINT against Cambridge Investment Research Advisors, Inc., Cambridge Investment Research, Inc., filed by Securities and Exchange Commission. Notice of Dismissal for lack of Service deadline set for 5/31/2022. Rule 16 Notice of Dismissal set for 5/31/2022.(Stockwell, Timothy) |
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