Sue Thompson Allegedly Recommended Unsuitable Investments

Sue Thompson (CRD #: 2965288), a broker registered with Cambridge Investment Research, allegedly gave unsuitable investment recommendations, according to her BrokerCheck record, accessed on September 20, 2025. Investors may have also worked with her through Cambridge Investment Research Advisors. Read on if you have questions about her alleged conduct as a broker.

Investor Dispute

On June 14, 2025, an investor’s power of attorney alleged that Sue Thompson made unsuitable investment recommendations. This dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without allowing an external review. Investors can still pursue FINRA arbitration after a denial and potential recoup their losses.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that adequately fit an investor’s financial goals. Brokers must take into account the information described in an investor’s profile, such as their risk tolerance, age, tax status, and overall financial situation.

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.

Background Information

Sue Thompson has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

Sue Thompson is a registered broker in 17 states as well as Puerto Rico. She is a registered investment adviser in New Jersey and Texas.

She has also worked for Wells Fargo Advisors (CRD#:19616) and First Union Brokerage Services (CRD#:8112).

Kurta Law Can Help

If you worked with Sue Thompson 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.