Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Ronald Roach. If you suffered losses investing with Ronald Roach, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Ronald Roach (CRD# 3216784)
As of December 5, 2019, Ronald Roach’s FINRA BrokerCheck Report contains the following:
BARRED: The SEC has barred this individual from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.
2 Regulatory Event(s)
1 Employment Separation After Allegations
1 Criminal Disclosure(s)
1 Civil Disclosure(s)
Current and Previous Registrations
01/23/2009 – 11/13/2019 SECURITIES AMERICA, INC. (CRD#:10205) WALNUT CREEK, CA
07/06/2006 – 01/23/2009 BRECEK & YOUNG ADVISORS, INC. (CRD#:40395) WALNUT CREEK, CA
08/20/2001 – 06/29/2006 CARILLON INVESTMENTS, INC. (CRD#:14646) CINCINNATI, OH
05/11/1999 – 09/14/2001 H.D. VEST INVESTMENT SECURITIES, INC. (CRD#:13686) IRVING, TX
FINRA requires brokerage firms 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. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
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.