William Fochi, Jr. Of Cambridge Investment Research, Inc. And Formerly With Cantella & Co. Inc. and Northwestern Mutual Investment Services, LLC, Has A Customer Complaint For Alleged Broker Misconduct

Who is William Fochi, Jr. of Cambridge Investment Research, Inc.?

William Fochi, Jr.

William Fochi, Jr. (CRD #1773450) who is currently registered as a broker and investment adviser with Cambridge Investment Research, Inc. and located in Malden, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., William Fochi, Jr. was associated with Cantella & Co. Inc., Northwestern Mutual Investment Services, LLC, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Fochi, Jr. has had his own regulatory problems. In 2021, he was suspended for 4 months and fined $10,000 for allegedly engaging in outside business activities without disclosing or providing prior written notice to his member firm. The activities related to the offer and sale of Equity Index Annuities despite the firm’s written supervisory procedures explicitly prohibiting its personnel from soliciting, recommending, selling, or promoting unregistered securities.

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William Fochi, Jr.  Customer Complaint

William Fochi, Jr. has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were fraudulent conduct and misleading statements related to unsuitable investment recommendations. The recommendations related to fixed annuities, variable annuities, and equity Index annuities. The customer complaint was denied and, to date, no further action has been taken.

William Fochi, Jr.  Red Flags & Your Rights As An Investor

Of course, William Fochi, Jr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Fochi, Jr. at Cambridge Investment Research, Inc., Cantella & Co. Inc. and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether William Fochi, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc., Cantella & Co. Inc. and Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

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File A Claim To Recover Your Investment Losses At Cambridge Investment Research, Inc. Due To William Fochi, Jr.

If you have questions about  Cambridge Investment Research, Inc., Cantella & Co. Inc., Northwestern Mutual Investment Services, LLC and/or William Fochi, Jr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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