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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Arthur Lanzo | 2492101 | 1 | 12/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Cohen | 2951692 | 3 | 10/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Matthew Aschoff | 4220184 | 2 | 01/29/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerald Messina | 1402311 | 4 | 07/28/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerald Messina | 1402311 | 4 | 02/12/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Weber | 2074155 | 1 | 11/08/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerald Messina | 1402311 | 4 | 10/20/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |