Haselkorn & Thibaut has opened a dedicated investigation into Shelby Joy Rothman (CRD 4166632), a financial advisor based in Glendale, CA and registered with Cambridge Investment Research, Inc. (also doing business as Cambridge Investment Research Advisors, Inc.). Whether you are an investor seeking clarity or have concerns about your investment experience, this research report provides a comprehensive and unbiased review of available background, employment history, customer disputes, and professional conduct—empowering you to make informed decisions. If you have specific questions or concerns about Ms. Rothman or your portfolio, consider reaching out to Haselkorn & Thibaut for a free, confidential consultation at 1-888-994-8066.
Who Is Shelby Joy Rothman?
Table of Contents
Shelby Joy Rothman—also known professionally as Shelby Rothman Murdock—is an experienced stockbroker and investment adviser operating out of Glendale, California. Her registrations are held at two Cambridge branch offices in Glendale and Burbank:
- 100 W. Broadway, Ste. 500, Glendale, CA 91210
- 1800 W. Magnolia Blvd., Burbank, CA 91506
Ms. Rothman has been registered with Cambridge Investment Research, Inc. since June 2011 and serves as both a broker and an investment adviser representative in multiple states. Her career history also includes roles at:
- Woodbury Financial Services, Inc. (2000–2009)
- Western Financial Advisors / WFP Securities (2009–2011)
In addition to her financial services work, Ms. Rothman is an independent insurance agent in Mission Viejo, CA, and is an owner/partner of Enjoy Financial (Glendale, CA) as well as being affiliated with Survey Squad California.
Licenses & Professional Overview
- CRD Number: 4166632
- Status: Active FINRA General Securities Representative
- Investment Adviser Representative: Yes (registered in multiple states)
To independently verify these credentials or review the most current disclosures, visit FINRA BrokerCheck and enter either the advisor’s name or CRD number.
Disclosures, Red Flags, and Regulatory History
The main goal with any advisor review is transparency. Below is a consolidated overview, based on the most recent public records and regulatory sources.
| Disclosure Event Type | Reported for Shelby Rothman? | Details |
|---|---|---|
| Customer Complaints | No formal complaints on record | One 2025 dispute (unsuitable recommendations) – closed with no action |
| Employment Termin. for Cause | None | No terminating events or firings for cause |
| Litigation/Judicial Actions | None | No civil litigation or lawsuits reported |
| Regulatory Actions (FINRA/SEC/State) | None | No SEC, FINRA, or state regulatory actions recorded against her |
| Bankruptcy Filings | None | No bankruptcies or financial distress |
Customer Dispute Summary & What It Means
A notable event in Ms. Rothman’s record is a single customer dispute filed in August 2025. The client, a customer of Cambridge Investment Research, alleged unsuitable recommendations in connection with insurance and Direct Participation Program (DPP) interests. The case was reviewed and closed in September 2025 with no further action. There is no record of the customer appealing or escalating the dispute.
- Takeaway for Investors: One closed customer dispute—especially when not resulting in regulatory action—does not necessarily indicate ongoing issues. However, if you feel similarly affected, it is important to seek professional guidance.
How to Check for Red Flags and Protect Yourself
- Background Reviews: Check all advisors’ registrations and disclosures on official websites like BrokerCheck.
- Understand Recommendations: Always ask whether products—especially insurance and DPP interests—are suitable for your risk tolerance and goals.
- Watch for Trends: Frequent customer disputes, regulatory actions, or employment terminations may reflect patterns—not present in this case, but diligence is always smart.
- Free Legal Review: Secure your own interests by speaking directly with an experienced investment fraud attorney if you have unanswered questions or concerns about your investment experience.
About Cambridge Investment Research, Inc.
This broker-dealer employs hundreds of advisors nationwide and has a regulatory history that is typical for a large firm; no firm-level regulatory action has directly implicated Ms. Rothman as of the most recent records.
Why Contact Haselkorn & Thibaut?
Haselkorn & Thibaut is a nationally recognized investment fraud law firm, boasting over 50 years of legal experience, a 98% success rate, and millions recovered for investors nationwide. Here’s what separates the firm:
- No recovery, no fee – You only pay if your claim is successful
- Complimentary case evaluation with a senior securities attorney
- Confidential, respectful, and fully independent guidance
- Nationwide reach, including representation in all FINRA arbitration forums
Your Next Step: Free Consultation
If you have lost money with Shelby Joy Rothman, Cambridge Investment Research, Inc., or related firms, or if you are simply seeking a second opinion about the management of your investments, now is the time to act. Haselkorn & Thibaut provides free, confidential consultations to help you understand your options and protect your interests.
Call 1-888-994-8066 today and speak privately with a dedicated securities attorney at Haselkorn & Thibaut, or use their online resources for more details. Your peace of mind is important—and experienced legal guidance is just a phone call away.
Remember, there’s no obligation and no fee unless you recover your losses.
