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 |
|---|---|---|---|---|---|---|---|---|
| Rohit Rangnath Kulkarni | 5685517 | 1 | 02/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alex Panagiotidis | 4582559 | 1 | 11/26/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Matthew Aschoff | 4220184 | 2 | 08/14/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Gerard Caserta | 1353917 | 2 | 09/15/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward Robert Lainfiesta | 1139496 | 2 | 03/17/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Gerald Messina | 1402311 | 4 | 10/12/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |