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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Michael Tonnos | 6306546 | 1 | 12/17/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Marshall White | 3048801 | 1 | 06/11/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Freeman | 7727708 | 1 | 03/05/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Edward Paluch | 7274321 | 1 | 03/12/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Daniel Harvey | 4860644 | 3 | 11/20/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Paul Nauyokas | 4150760 | 1 | 08/30/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Daniel Harvey | 4860644 | 3 | 01/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Daniel Harvey | 4860644 | 3 | 12/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leo Paul Mariani | 3097623 | 1 | 05/14/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |