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 |
|---|---|---|---|---|---|---|---|---|
| Michael Howard Cohen | 2951692 | 3 | 06/24/2013 | Judgment / Lien | $0.00 | $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 |
| Eric Lorenz Krogius | 2572460 | 1 | 05/25/2011 | Judgment / Lien | $0.00 | $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 |
| 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 |
| Alex Panagiotidis | 4582559 | 1 | 11/26/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |