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 |
|---|---|---|---|---|---|---|---|---|
| Edward Robert Lainfiesta | 1139496 | 2 | 08/17/2007 | Customer Dispute | Closed-No Action | $25,308.80 | $0.00 | See FINRA Report |
| Benjamin Edward Paluch | 7274321 | 1 | 03/12/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Matthew Aschoff | 4220184 | 2 | 01/29/2003 | Regulatory | Final | $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 | |
| 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 |
| Alexander Gene Montano | 1961932 | 4 | 01/05/1999 | Customer Dispute | Award / Judgment | $504,745.00 | $325,000.00 | 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 |