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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Anthony Gerard Caserta | 1353917 | 2 | 09/15/1995 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |