Roth Capital Partners, LLC (CRD #15407, Newport Beach, California) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to properly mark short sale orders as short and transmitted reports to OATS that omitted desk timestamps, contained inaccurate timestamps and/or incorrectly included a received method code of “E.” The findings stated that the firm failed to maintain complete and accurate brokerage order memoranda. The findings also stated that the firm incorrectly denoted short sales as long, failed to show that orders were “not held,” failed to show the execution times and indicate whether orders were “held” or “not held,” and failed to show accurate order receipt times. The findings also included that the firm, during one calendar quarter, failed to make a complete and accurate report on its routing of non-directed orders in covered securities available during that quarter. (FINRA Case #2008013374602)
Nope, I don't work for Roth or Kriegsman. I just bought in back in December when the stock was at .40 cents and I have almost doubled my investment. Yet you bashers, won't acknowledge that simple little fact.