Investors Amy Brandts in Disputes Alleging Cybersecurity Breach

Amy Brandts (CRD #: 1228497), a broker registered with Cambridge Investment Research, has been the subject of two investor disputes, according to her BrokerCheck record, accessed on April 15, 2025. Investors may have also engaged her services through Cambridge Investment Research Advisors and Symphony Financial. If you have questions about her alleged conduct as a broker, read on.

Investor Disputes

In disputes filed on July 30, 2024, and January 30, 2025, investors alleged they suffered losses due to a cybersecurity breach related to Amy Brandts’ email account. The investors alleged negligence on her part. These disputes were settled for a collective $446,672.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What is broker negligence?

Many types of broker misconduct may qualify as negligence. Typical examples include misrepresentations or omissions of material fact, unsuitable investment recommendations, and failure to execute trades according to investors’ instructions.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information

Amy Brandts has passed the following exams:

• General Securities Principal Examination – Series 24
• Operations Professional Examination – Series 99TO
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Direct Participation Programs Representative Examination – Series 22
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Amy Brandts is a registered broker in 27 states as well as the District of Columbia and Puerto Rico. She is also a registered investment adviser in Maryland, Texas, and Virginia.

She has also worked for the following firms:

• Trusted Advisors (CRD#:24049)
• Trusted Securities Advisors Corporation (CRD#:24049)
• Capitol Securities Management (CRD#:14169)
• G. R. Phelps & Company (CRD#:173)
• Sun Investment Services Company (CRD#:5496)
• New York Life Securities Corporation (CRD#:5167)

Kurta Law Can Help

If you worked with Amy Brandts and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.