TODD ASHLEY ROSELLE is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1 AVENUE OF THE ARTS, WILMINGTON, DE, 19801.
TODD ASHLEY ROSELLE has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since December 03, 2012
Disclosure History
TODD ASHLEY ROSELLE has 1 Disclosure Event(s).
Date: April 24, 2013 Category: Customer Dispute Allegations: CLIENTS ALLEGE RR GAVE THEM POOR ADVICE UPON THE RECOMMENDATION OF A VARIABLE LIFE INSURANCE POLICY. Broker Comment: RR ASSERTS CLIENT DID NOT INTEND TO FILE A FORMAL COMPLAINT. THE DOCUMENTATION ABOVE WAS REQUIRED BY FINRA DUE TO THE WORDING IN THE CLIENT'S EMAIL. ONCE THE CLIENT LEARNED THAT THE EMAIL RAISED A RED FLAG TO THE COMPLIANCE DEPARTMENT, THEY INSISTED IT BE WITHDRAWN. THE CLIENT CONTINUES TO FOLLOW THE ORIGINAL RECOMMENDATIONS THAT WERE MADE.
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