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Rick Kuhlman Joins FINRA's National Adjudicatory Council

Cambridge Investment Research, Inc., a leading financial solutions firm, is proud to announce that Rick Kuhlman, its Senior Vice President and Chief Legal Officer, has been elected to the National Adjudicatory Council (NAC) of the Financial Industry Regulatory Authority (FINRA). This notable achievement marks Kuhlman's commitment to fostering fairness and accountability in the financial industry, aligning with the council's mission to maintain high regulatory standards.

Significant Appointment

Kuhlman earned his position through a majority vote from approximately 150 FINRA member firms, a testament to his respected reputation and vast experience within the financial sector. Effective immediately, his appointment to the NAC provides him with the platform to influence decisions regarding disciplinary matters and enhance the integrity of the financial services industry.

The NAC plays a critical role in the oversight of FINRA's disciplinary proceedings, reviewing all decisions made by hearing panels. In addition to appellate review, the council addresses statutory disqualification matters and considers appeals related to membership proceedings. As part of his role, Kuhlman will bring his extensive legal background to help uphold the industry's standards.

Kuhlman's Vision

Upon his election, Kuhlman expressed his gratitude and optimism concerning his new role: "I'm honored to join the NAC and contribute to its mission. The experience I've gained throughout my career has shaped my belief that our industry thrives when fairness and accountability prevail. I'm committed to bringing this perspective to the council, and I look forward to doing my part to maintain a trusted environment for advisors and clients."

Kuhlman joined Cambridge in 2019 and has since led the firm's Regulatory Affairs and Dispute Resolution Teams while managing the daily functions of the Legal Department. With a robust focus on risk mitigation, he guides Cambridge through pertinent legal issues to further support the growth of its operations, which includes broker-dealer and investment advisory services.

A Deep Legal Background

Before his tenure at Cambridge, Kuhlman dedicated over 25 years to the private practice of law, specializing in securities litigation and regulation. His career has granted him the privilege to litigate in a multitude of courts across the United States, including state and federal appellate courts, and even the United States Supreme Court. This wealth of experience has equipped him with an intricate understanding of the regulatory landscape and the kinds of challenges the financial industry faces.

His previous interactions with administrative and disciplinary issues specific to the FINRA forum also provide Kuhlman with a unique insight that will inform his work on the council. As he now steps into this critical advisory role, his contributions are eagerly anticipated by both colleagues and industry professionals.

About Cambridge Investment Research

Founded on the principles of independence and adaptability, Cambridge Investment Research is dedicated to empowering financial professionals nationwide. Catering to over 3,800 financial advisors, the firm offers a diverse array of services and solutions that facilitate growth and stability in the financial advice sector. Cambridge is recognized as one of the largest independent broker-dealers in the United States, boasting a strong commitment to an internally controlled business model.

With the appointment of Kuhlman to the NAC, Cambridge continues to demonstrate its leadership within the financial services arena and its commitment to quality governance in the face of rapid changes affecting the industry. Learn more about Cambridge and their mission at JoinCambridge.com.