ELAINE ROECKLEIN

ELAINE ROECKLEIN is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located at 20 Old Boxwood Lane, Lutherville, MD, 21093.

ELAINE ROECKLEIN has worked at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. since June 11, 2018

ELAINE ROECKLEIN is also currently employed as a Broker and/or Investment Adviser at FSC SECURITIES CORPORATION located at 400 POTOMAC VIEW PKWY, BRUNSWICK, MD, 21716 since November 06, 2018

ELAINE ROECKLEIN is also currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 20 Old Boxwood Lane, Lutherville, MD, 21093 since February 05, 2016

Disclosure History

ELAINE ROECKLEIN has 1 Disclosure Event(s).

Date: September 09, 2015
Category: Customer Dispute
Allegations: The claimant alleges that Ms. Elaine Roecklein failed to follow instructions to cancel Allianz equity indexed annuity within the free look period.
Damage Amount Requested: $20,000.00
Broker Comment: The claimant is not a customer of PKS nor has PKS sought to engage in any securities business with this individual. The matter has since been closed and Allianz has indicated that they will grant the claimant's request to honor the free look period with no losses suffered by the claimant.

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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