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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| James Daniel Harvey | 4860644 | 3 | 12/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Weber | 2074155 | 1 | 11/08/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Gerard Caserta | 1353917 | 2 | 09/15/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Gerard Caserta | 1353917 | 2 | 09/15/1995 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Edward Robert Lainfiesta | 1139496 | 2 | 03/17/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Gerald Messina | 1402311 | 4 | 10/12/1994 | Employment Separation After Allegations | $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 |
| Thomas Gerald Messina | 1402311 | 4 | 10/20/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |