Our Staff has compiled our research into a database of FINRA Broker Disclosures for Roth Capital Partners, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Louis Stephenson | 2382774 | 1 | 07/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harry Fong | 1243289 | 2 | 10/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harry Fong | 1243289 | 2 | 10/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wendy Diane Farina | 5608517 | 2 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wendy Diane Farina | 5608517 | 2 | 02/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rohit Rangnath Kulkarni | 5685517 | 1 | 02/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Arthur Lanzo | 2492101 | 1 | 12/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Otilia Del Carmen Chen Rodriguez | 5041049 | 2 | 11/27/2015 | Customer Dispute | Withdrawn | $50,319.70 | $0.00 | See FINRA Report |
| Michael Howard Cohen | 2951692 | 3 | 10/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Cohen | 2951692 | 3 | 08/09/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |