SHELBY JOY ROTHMAN

SHELBY JOY ROTHMAN is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 4695 MACARTHUR CT, STE 480, NEWPORT BEACH, CA, 92660.

SHELBY JOY ROTHMAN has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since June 17, 2011

Disclosure History

SHELBY JOY ROTHMAN has 2 Disclosure Event(s).

Date: April 10, 2009
Category: Customer Dispute
Allegations: THE CLIENT ADVISED ME OF HER ADDRESS CHANGE IN FALL 2008. I TOLD I WOULD NOT BE ABLE TO BE HER REP B/C I WASN'T REGISTERED IN THAT STATE AND I WOULD SEND HER FILE TO CORPORATE FOR REASSIGNMENT. SHE CONTACTED ME 11/2008 BUT I AGAIN TOLD HER I COULDN'T ASSIST HER. I GAVE HER THE 800#. SHE TOLD ME SHE HADN'T BEEN CONTACTED AND I AGAIN GAVE HER THE 800#. I HAVE NOT HEARD FROM HER AGAIN AND DID NOT HEAR ABOUT THIS COMPLAINT UNTIL IT SHOWED UP ON MY U-5.
Damage Amount Requested: $10,000.00

Date: December 15, 2008
Category: Customer Dispute
Allegations: CUSTOMER CONTACTED THE REPRESENTATIVE ON SEVERAL OCCASIONS AND EXPRESSED HER DESIRE TO GET OUT OF THE EQUITY MARKET. THE REPRESENTATIVE ADVISED AGAINST THIS. THE CUSTOMER LOST MONEY DUE TO MARKET DECLINE. SHE ALLEGES THAT THESE ADDITIONAL LOSSES WERE THE RESULT OF THE REPRESENTATIVES ADVICE.
Damage Amount Requested: $5,000.00
Settlement Amount: $10,215.00
Broker Comment: ALLEGED COMPENSATORY DAMAGES ARE OVER $5000, THE EXACT AMOUNT CANNOT BE DETERMINED.

More Information

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

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