JONATHAN MICHAEL ROTH

JONATHAN MICHAEL ROTH is currently employed as a Broker and/or Investment Adviser at BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. located at 901 SOUTH GRAND AVENUE WEST, SPRINGFIELD, IL, 62704.

JONATHAN MICHAEL ROTH has worked at BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. since November 11, 2013

Disclosure History

JONATHAN MICHAEL ROTH has 2 Disclosure Event(s).

Date: August 02, 2011
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES REGISTERED REPRESENTATIVE MISREPRESENTED THE PRODUCT AND HOW IT WORKED.
Damage Amount Requested: $45,200.18

Date: August 31, 1993
Category: Regulatory

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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