ANTHONY SUNWALL ROCKWELL is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 549 Mission Hills Drive, Chanhassen, MN, 55317.
ANTHONY SUNWALL ROCKWELL has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since June 18, 2010
Disclosure History
ANTHONY SUNWALL ROCKWELL has 3 Disclosure Event(s).
Date: September 29, 2006 Category: Employment Separation After Allegations Firm Name: RAYMOND JAMES Termination Type: Permitted to Resign Allegations: THE ALLEGATIONS WERE THAT THERE WAS A FALSE STATEMENT IN THE LETTER. I FEEL THERE WERE NO FALSE STATEMENTS. THE LETTER STATED THAT I HAD DISCRETION AND I HAVE A POWER OF ATTORNEY FROM THE CLIENT SUPPORTING THAT. IF ADVISED I MAY APPEAL.
Date: October 03, 1995 Category: Customer Dispute Allegations: CLAIMANT ALLEGED ROCKWELL RECOMMENDED AN UNSUITABLE INVESTMENT IN PILGRIM ADJUSTABLE RATE SECURITIES TRUST IVCAUSING HER LOSSES OF $3,852.25. Damage Amount Requested: $3,852.25 Damages Granted: $3,852.25 Broker Comment: THE ARBITRATION PANEL AWARD THE CLAIMANT$3,852.25 IN DAMAGES. ROCKWELL WAS N OT ASKED TO CONTRIBUTE TOTHE AWARD.NOT PROVIDED
Date: April 01, 1979 Category: Customer Dispute Allegations: CLAIMANTS ALLEGED THAT DAIN BOSWORTH, ANTHONY ROCKWELL AND [BROKER] FAILED TO PROPERLY DISCLOSE RISKS, CHURNED THE ACCOUNT, AND FAILED TO FOLLOW INSTRUCTIONS. Damage Amount Requested: $70,493.00 Damages Granted: $70,493.00 Broker Comment: DAIN BOSWORTH INC., ANTHONY ROCKWELL, AND [BROKER] SHALL PAY TO COMPLAINTANTS [CUSTOMER] AMOUNT OF$70,493 PLUS INTEREST AND COSTS, NO SUSPENSION OR RESTRICTION. SINCE I WAS ACTING AS A REPRESENTATIVE OF DAIN BOSWORTH, THEY COVERED ALL COSTS. FROM 1975 TO 1978 I WAS THE DEPARTMENT HEAD OF THE COMMODITY DEPT. OF DAIN BOSWORTH. CUSTOMER HAD COMPLIANED NAMING DAIN, MYSELF, AND THE BROKER WHO HANDLED HIS ACCOUNT, [BROKER]. HE SUED ON THREE COUNTS AND LOST THE FIRST TWO, BUT WON THIRD (THAT DAIN HAD FAILED TO FOLLOW HIS INSTRUCTIONS). SINCE I WAS NAMED IN THE COMPLAINT, BUT WAS PERFORMING MY DUTIES AS REPFRESENTATIVE OF DAIN AT THE TIME, THEY COVERED ALL COSTS.NOT PROVIDED
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