PAMELA LOUISE ROCKLEY is currently employed as a Broker and/or Investment Adviser at NEWOAK CAPITAL MARKETS LLC located at 575 Fifth Ave., 15TH FL., NEW YORK, NY, 10017.
PAMELA LOUISE ROCKLEY has worked at NEWOAK CAPITAL MARKETS LLC since September 02, 2009
Disclosure History
PAMELA LOUISE ROCKLEY has 1 Disclosure Event(s).
Date: February 14, 1997 Category: Customer Dispute Allegations: UNAUTHORIZED TRADE, FAILURE TO SUPERVISE,ALLEGED DAMAGES $223,925 Damage Amount Requested: $223,925.00 Settlement Amount: $50,000.00 Broker Comment: SETTLEMENT $50,000I WAS NAMED IN THIS ARBITRATION INCIDENTAL TO MYPOSITION AS COMPLIANCE OFFICER AND NEVER EXECUTED ANYTRANSACTIONS IN THIS ACCOUNT. IN THE INTEREST OF BOTH PARTIESAN AMICALBE AGREEMENT WAS REACHED.
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