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Roth Capital Partners, L.L.C.

Roth Capital Partners, L.L.C. (CRD #15407, Newport Beach, California) received a censure and fine of $15,000. The firm was also required to revise its written supervisory procedures concerning limit order display within 30 business days. According to the findings, the firm failed to display immediately customer limit orders in NASDAQ securities in its public quotation, when each such order was at a price that would have improved the firm's bid or offer in each such security. Additionally, the firm's supervisory system did not provide for adequate supervision. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030037)

Did Roth Capital Partners, L.L.C. manage your investments?



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