ROSEMARY MOONEY

ROSEMARY MOONEY is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 6374 HWY 98 W., STE C, HATTIESBURG, MS, 39402.

ROSEMARY MOONEY has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since August 31, 2009

Disclosure History

ROSEMARY MOONEY has 4 Disclosure Event(s).

Date: December 22, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $9,878.82
Judgment/Lien Type: Tax

Date: September 14, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $12,466.00
Judgment/Lien Type: Tax

Date: February 19, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $25,765.02
Judgment/Lien Type: Tax

Date: March 18, 2011
Category: Customer Dispute
Allegations: ALLEGES FAILURE TO FOLLOW INSTRUCTIONS IN CONNECTION WITH TRANSFER OF PLANTIFF'S RETIREMENT PLAN IN OCTOBER 2008. ALLEGES BREACH OF CONTRACT AND NEGLIGENCE. ALLEGES DAMAGES OF $225,000.
Damage Amount Requested: $225,000.00
Settlement Amount: $152,000.00 11-00574

More Information

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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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