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 |
|---|---|---|---|---|---|---|---|---|
| Otilia Del Carmen Chen Rodriguez | 5041049 | 2 | 11/27/2015 | Customer Dispute | Withdrawn | $50,319.70 | $0.00 | See FINRA Report |
| Alexander Gene Montano | 1961932 | 4 | 01/24/2012 | Customer Dispute | Pending | $779,954.00 | $0.00 | See FINRA Report |
| Alexander Gene Montano | 1961932 | 4 | 12/26/2011 | Customer Dispute | Pending | $356,000.00 | $0.00 | See FINRA Report |
| Alexander Gene Montano | 1961932 | 4 | 02/11/2011 | Customer Dispute | Award / Judgment | $562,897.00 | $821,000.00 | See FINRA Report |
| Otilia Del Carmen Chen Rodriguez | 5041049 | 2 | 02/11/2011 | Customer Dispute | Award / Judgment | $562,897.00 | $821,000.00 | See FINRA Report |
| Edward Robert Lainfiesta | 1139496 | 2 | 08/17/2007 | Customer Dispute | Closed-No Action | $25,308.80 | $0.00 | See FINRA Report |
| Gregory Thomas Tuerk | 1446884 | 1 | 04/23/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Jonathan Chill | 1725072 | 1 | 02/05/2001 | Customer Dispute | Settled | $67,700.00 | $0.00 | See FINRA Report |
| Alexander Gene Montano | 1961932 | 4 | 01/05/1999 | Customer Dispute | Award / Judgment | $504,745.00 | $325,000.00 | See FINRA Report |
| Anthony Gerard Caserta | 1353917 | 2 | 09/15/1995 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |