Did you suffer investment losses with Roth Capital Partners (CRD# 15407) (SEC# 8-32129)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Roth Capital Partners. If you suffered losses investing with Roth Capital Partners, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of July 7, 2020, Roth Capital Partners’s FINRA BrokerCheck Report contains the following:
15 Regulatory Event Disclosures
12 Arbitration Disclosures
Main Office Location
888 SAN CLEMENTE
SUITE 400
NEWPORT BEACH, CA 92660
UNITED STATES
Mailing Address
888 SAN CLEMENTE
SUITE 400
NEWPORT BEACH, CA 92660
UNITED STATES
Business Telephone Number
949-720-5700
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Roth Capital Partners’s Direct Owners and Executive Officers
CR FINANCIAL HOLDINGS, INC., MEMBER
AKDENIZ, NAZAN (CRD#:2522215), ROSFP
LAMARCHE, KRISTIN DIANE (CRD#:2582393), CHIEF COMPLIANCE OFFICER
MORK, JONATHAN ANDREW, MANAGER
PLATT, RICHARD L (CRD#:2059118), GENERAL COUNSEL
ROTH, BYRON CLARENCE (CRD#:1768553), CHAIRMAN/CEO/MANAGER
ROTH, GORDON JAMES (CRD#:3167226), CHIEF FINANCIAL OFFICER/FINOP/MANAGER
ROTH, THEODORE DAVID (CRD#:4615931), PRESIDENT
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker-dealers to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Broker-Dealers that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Roth Capital Partners and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
CDB SECURITIES, INC., CRUTTENDEN & CO., INC., CRUTTENDEN & COMPANY, CRUTTENDEN ROTH INCORPORATED, CDB SECURITIES, INC., CRUTTENDEN & CO., INC., CRUTTENDEN & COMPANY, CRUTTENDEN ROTH INCORPORATED
